Experience

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  Stifel Financial Corp.

  • Baltimore, Maryland Area

  • Compliance Analyst II

    • Dec 2016 - Present
    • Baltimore, Maryland Area

    • Analyze exception-based monitoring reports for potential sales practice issues and to ensure compliance with regulatory and Firm policies and procedures.• Assists Firm in researching and responding to SEC, FINRA and MSRB regulatory inquiries.• Work with Branch managers and Central Supervision t...

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  T. Rowe Price

  • United States
  • Financial Services
  • 700 & Above Employee

  • Financial Representative

    • Apr 2016 - Dec 2016

    • Support the customer relationship by entering real-time stock, options, precious metals, mutual fund, and bond trade requests. Submitted customer service and maintenance requests, and researched any account related inquiries and/or problems.• Completed related activities such as accurately and quickly determining funds available, from complex margin to day trading calculations, to determining funds necessary to settle customer transactions.• Responded to inquiries from potential investors and customers regarding market and investment related activities.

  • Participant Service Center Specialist

    • Aug 2015 - Apr 2016

    • Provided investment guidance to existing and newly enrolling participants within their Qualified or non-Qualified plan.• Established and open Individual Retirement Accounts (IRAs). • Enhanced client relationships by appropriately identifying opportunities and presenting value added services.

  • Participant Service Center In-Plan Associate

    • Jul 2013 - Aug 2015

    • Responsible for handling inbound telephone inquiries from retirement plan participants and responding to various client service related topics.• Utilized a consultative service model to build and enhance relationships with retirement plan participants. • Take ownership of participant and plan related issues by researching historical account activity and interacting with various internal parties.

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  Muhlenberg College

  • Allentown, Pennsylvania Area

  • Assistant to the Comptroller

    • Jun 2012 - Aug 2012
    • Allentown, Pennsylvania Area

    • Created Excel worksheets for cost analysis of monthly expenses.• Supervised a team to organize and store financial records for easy retrieval.• Assisted with fall semester student billing.