Experience

Adams Street Partners

• United States
• Venture Capital and Private Equity Principals
• 200 - 300 Employee

• Senior Compliance Associate

  • Nov 2021 - Present



Optiver

• Netherlands
• Capital Markets
• 700 & Above Employee

• Compliance Analyst

  • Mar 2017 - Nov 2021

  Develop, produce, and manage Compliance training program for large financial firm, liaise with leadership across various business entities to provide regulatory guidance on global projects and regulatory issues on behalf of the Firm, conduct compliance audits related to Firm personnel, provide report generation and risk assessment. • Manage firm compliance training program including auditing program based on new regulatory guidance, training calendar development in coordination with third-party LMS developers, work with global departments on training management and efficiencies. • Assess risks to the Firm related to disciplinary actions or sanctions in regulatory circulars and developed robust US Compliance Training Program including employee onboarding regulatory requirements, commodities & derivatives trading, market misconduct, electronic communications, ethics, AML, and other specialized industry topics in various formats. • Prepare regulatory filings and examination requests with the SEC, FINRA, CFTC, and U.S. Self-Regulatory Organizations. • Implement and maintain Compliance Solutions software for e-learning training and further adherence to ITSFEA, Dodd Frank, and Securities and Exchange Act of 1934. • Provide guidance and presentations on best practices related to ongoing financial risk areas for employees based on research from exchange rules, disciplinary actions, and cases. • Compliance liaison for employee onboarding and monitoring related to US broker-dealer regulations. Show less



AEP Energy

• United States
• Oil and Gas
• 200 - 300 Employee

• • Oct 2014 - Dec 2016

  Analyzed, trained, evaluated and monitored Sales and Customer Service Agents for C&I, D2D, and Residential Telemarketing to ensure compliance with regulatory and sales standards. • Ensured understanding of regulatory compliance in accordance with the Public Utilities Commission of Ohio, Illinois Commerce Commission, and Pennsylvania Public Utility Commission with script composition and training materials content writing, including TCPA and TILA.• Managed the hiring, training and monitoring of Outbound Small Business leading to exceeding sales goals.• Implemented QA Evaluation for Inbound Residential Telemarketing team with detailed training protocol and reporting. • Developed reporting of QA metrics for analysis for over 10 vendor partners to assist in agent development and training in contact centers, D2D sales, and B2B sales for over 200 Agents. Show less

• • May 2013 - Oct 2014

  Supported multiple operational, analytical and informational functions for the Sales Team while assisting in increasing monthly sales.• Large Commercial RFP analysis based on market trends and partner consultations.• Consulted on new energy contract submission process reducing sales-cycle time by 50%. • Project lead for Sales Support team and C-Suite presentation results on functionality and revenue increase.• Developed contract efficiencies and constructed new operational procedures to drive sales results. Show less



InnerWorkings

• United Kingdom
• Advertising Services
• 400 - 500 Employee

• Business Development Specialist

  • Jul 2012 - May 2013

  Relationship management for large, key accounts for global marketing execution firm serving Fortune 500 brands across a wide range of industries. Relationship management for large, key accounts for global marketing execution firm serving Fortune 500 brands across a wide range of industries.



Bank of America

• United States
• Banking
• 700 & Above Employee

• Small Business Sales Specialist

  • 2011 - 2012

  Performed in a high-volume inbound sales environment with stringent customer data protection policies and federal regulations including FCRA. Assessed business accounts while handling 90 to 120 inbound calls per day. Performed account-related transactions across a variety of CRM and proprietary software. Performed in a high-volume inbound sales environment with stringent customer data protection policies and federal regulations including FCRA. Assessed business accounts while handling 90 to 120 inbound calls per day. Performed account-related transactions across a variety of CRM and proprietary software.



Florida Career College

• Higher Education
• 400 - 500 Employee

• Student Admissions Representative

  • 2011 - 2012

  Conducted thorough admissions interviews of potential students while adhering to strict compliance policies and using strong sales techniques to overcome objections. • Successfully achieved aggressive sales goals. • Within 4 months, received “Employee of the Month Award” due to impressive sales results. • Met daily targets of 240 outbound calls, 3 interviews, and 1 enrollment. Conducted thorough admissions interviews of potential students while adhering to strict compliance policies and using strong sales techniques to overcome objections. • Successfully achieved aggressive sales goals. • Within 4 months, received “Employee of the Month Award” due to impressive sales results. • Met daily targets of 240 outbound calls, 3 interviews, and 1 enrollment.



Law Offices of Wahl & Ribadeneira, PC

• Scottsdale, AZ

• Legal Assistant

  • 2007 - 2009

  Submitted and maintained legal documentation of corporations and LLCs. Conducted research on state specific filings, rulings, cases and statutes. Submitted and maintained legal documentation of corporations and LLCs. Conducted research on state specific filings, rulings, cases and statutes.