Microsoft Office: Word, Excel, Access, PowerPoint, Outlook, Morningstar and Proficient in Bloomberg.
09/2008 to 04/2015
Associate / Interim SupervisorJefferies LLC Jefferies Bache, LLC / Prudential Bache Commodities, LLC － Jersey City, New York NJ
Assisted colleagues when requested, with Client inquires Assisted with legal in providing documentation with merger between Jefferies Bache and Jefferies, LLC.
Assisted Management and Senior Management in High Profile Clients and Projects.
Delegated incoming new account requests throughout group / managed clients expectations Assisted colleagues in the provision of account service, i.e.
opening accounts for all Jefferies entities, as well as Wells Fargo Advisors, Fortis Wealth Management, National Financial Services (NFS) Work closely with supporting business groups in Compliance, Legal, Credit & Risk departments in order to facilitate the account opening process and obtain all relevant documentation and internal approvals.
Oversee and ensure that our department is compliant with Anti-Money Laundering regulations, USA Patriot Act, and Foreign Bank Certifications.
Conduct quality review and edit the accounts with respect to name change, substitution or addition of beneficiaries, durable power of attorney, options, margin, set-up statement, trade confirmation, registered representative numbers; deleted inactive accounts.
Preside over the assessment of a wide range of KYC risk management activities, conducting due diligence via OFAC, Google, World Checks, RDC, LexisNexis, National Financial Association (NFA), CDC and Equifax checks.
Strategically employ multiple media sources in addition to local and state regulatory sites to assist in analyzing ultimate beneficial ownership, giving insight to registration and confirmation entity is active and in good standing.
Utilize industry expertise in applying key trigger words (I.e.
Sanctioned, Charged, Fraud, etc) through media sources to expedite in identifying negative news and false positive alerts.
Proficiently carry out enhanced due diligence on medium and high risk flagged clients (based off of clients / entities legal address or registered addresses, respectively), which includes classifying purpose of account, source of funds/wealth, anticipated volume and type of transactions (Cash, Margin, DVP) to be conducted.
Process sanction screenings on individuals identified as Politically Exposed Persons (PEPs) both domestic and foreign to be forwarded to the AML Supervisor for monitoring and submission to PEP list.
Assist client service group responsible for incoming/outgoing wires by investigating third party payment transfers and potential money laundering issues to be submitted and added to SAR reports.
Provide AML surveillance support by monitoring transactions and promptly terminating alerts not deemed unusual or suspicious.
Play an integral role with various audit requests, as well as CFTC and NFA investigations.
Accomplishments One of the team members liaised with the tax reporting department to assist with the retrieval and documenting of foreign or domestic tax forms, which resulted in fewer clients facing possible withholding of interest.
04/2008 to Current
ConsultantPrudential Bache Commodities, LLC － New York, NY
Added/updated Excel database for account information.
03/2007 to 09/2007
Analyst/ ConsultantGoldman Sachs － New York, NY
Maintained and updated Excel database for entities credit ratings Added/Updated entities in Global Credit File (GCF) and Crystal Obtained and updated lists of analyst per entity/obligor on family trees Added/Modified entities into GEARS (Global Entity Action Research System) Updated Tax Exempt Entry system for the Goldman Sachs Asset Management System Committee approve risk parties each week after committee reviews them Maintained and updated Limits for review cycles.
08/2006 to 02/2007
Analyst/ ConsultantMorgan Stanley, Institutional Securities － New York, NY
Interpret and organize contractual party agreements and documentation between Morgan Stanley and corresponding companies.
Utilized Excel to review documents for accuracy.
Maintained and updated Excel database.
Responsible for ensuring the accuracy and relevancy of Morgan Stanley's fixed income database (Doc Point).
08/2003 to 08/2006
Payroll AssistantStop and Shop Supermarkets － Hicksville, NY
Assisted in all payroll duties.
Entered all customer information into proprietary database.
Assisted in Customer Service/ management duties.
09/2005 to 12/2005
Financial AssistantMerrill Lynch － Bohemia, NY
Maintained and established marketing campaigns for current & prospective clients Assisted Client Associate in servicing accounts of high net worth clients along with assisting with every day tasks Worked on various projects, i.e.
Client Penetration (Supernova), Obtaining prospective clients and Sales (Mutual Fund and Insurance Matrix) Inputted and updated Clients information into database Researched mutual fund and insurance companies for Financial Advisors Requested Annual Report data for selected companies Assisted in client portfolio review preparation Obtained Research Reports for selected securities & updated information for selected Mutual Fund companies.
COURSE WORK Accounting, Business Writing, International Business, Working Capital Management, Money and Banking, Personal Finance, Investment Securities, Financial Management, International Financial Management, Statistical Accounting, Corporate FinanceGPA: GPA: 3.0 / 4.0GPA: 3.0 / 4.0
B S: Business Administration FinanceNew York Institute of Technology － Old Westbury, NYGPA: Dean's ListBusiness Administration Finance Dean's List
Operations - New Accounts Department / Client Service Department
Accounting, analyst, Asset Management, attorney, Banking, Bloomberg, Business Writing, Corporate Finance, Credit, Credit & Risk, Crystal, Client, Clients, Customer Service, database, documentation, due diligence, edit, English, Senior Management, Farsi, Finance, Financial, Financial Management, fixed income, forms, funds, Insurance, International Business, Languages, Legal, marketing, Access, Excel, Money, Microsoft Office, Outlook, PowerPoint, Word, NFS, payroll, PEPs, quality, reporting, Research, Research Reports, risk management, Sales, Securities, Supervisor, Tax, type
Operations - New Accounts Department / Client Service Department
New York Institute of Technology
Job Titles Held:
Associate / Interim Supervisor
COURSE WORK Accounting, Business Writing, International Business, Working Capital Management, Money and Banking, Personal Finance, Investment Securities, Financial Management, International Financial Management, Statistical Accounting, Corporate Finance B S : Business Administration Finance
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