Jessica Claire
Montgomery Street, San Francisco, CA 94105
Home: (555) 432-1000 - Cell: - - -
Experience using the following financial, legal & HR systems: *FINRA (Financial Industry Regulatory Authority)
  • Web CRD (Central Registration Depository System)
  • NFA (National Futures Association)
  • CARCO (Background screening system), SHRM, Actimize, Salesforce, Workday and PeopleSoft, AVAYA
  • Westlaw Research MS Office Tools: Word, Excel, PowerPoint, Outlook HTML, SDLC
  • Data Bases: MS-Access, Actimize
  • Operating Systems: MS Windows (XP, 2000, 2008), Adobe Pro

Attended AML/BSA training and participated in Compliance events annually.

Increased customer service ratings by 60%, by developing new processes and improving work flow for fortune 500 company.

Promoted to Front Desk Supervisor at Hampton Inn Hotel, after just 6 months of employment.

11/2014 to 09/2015
Compliance Assistant Brown And Riding Greenwood Village, CO,
  • Consolidate multiple spreadsheets and restructure document archives in company's shared drive.
  • Provide operational and administrative support to Underwriters in their daily business practices, e.g.
  • processing on-boarding new clients, address and resolve requests and maintenance of client database.
  • Create, edit, proofread and format contracts and other corporate documents to ensure accuracy of regulatory or statutory notations.
  • Coordinate and communicate with external customers on application status and ensure documentation and approvals are received.
  • Draft correspondence, complete weekly and monthly reports, status monitoring, and responsible for other administrative tasks as assigned.
01/2008 to 06/2014
Compliance Associate Wells Fargo Mercer Island, WA,
  • Provide e-mail and telephone support to clients, regarding internal system queries and functional Compliance policies/procedures.
  • Manage projects of on-boarding new hires and Outside Business Activity audit reviews, and reduced processing time through workflow redesign.
  • Research and identify data quality issues reported through the Client or found through implementation of new file and work with client to create a resolution.
  • Develop, communicate, and train the organization on business practices and processes to promote compliance awareness.
  • Monitor and ensures timeline check-points are met for compliance projects.
  • Review background check findings for onboarding employees, and provide HR and Management with information that allows them to make hiring decisions in compliance with labor laws and FINRA regulations.
  • Conduct the appropriate reporting and escalation of incidents within Legal and Compliance team.
  • Provide updates for monthly and weekly Compliance reports and perform other related duties as assigned.
  • Advice clients and senior management on compliance/regulatory policies; monitor and assess compliance risks and controls.
  • Ensure all employees are meeting their continuing education requirements, ethics training and other annual compliance requirements.
  • Technology Experience: Experience in manual testing projects of Salesforce and Global Registration System (GRL).
  • Plan, prepare, and execute functional, integration and user acceptance testing; including end-to-end test scenarios across multiple systems such as, Salesforce, GRL, Actimize and Workday Proven experience in system quality assurance for small to large projects and testing using validation of screens.
  • Knowledge of UAT, writing test cases, bug reports, creating and managing Salesforce sandbox.
  • Verify that fixes for defects and new features work as expected, and are not causing regressions in affected areas.
07/2004 to 12/2007
Health Benefits Consultant Marsh & Mclennan Companies, Inc. Lexington, KY,
  • Collect, input, verify, correct, and analyze data to measure key performance indicator i.e.
  • actual versus business objectives and display data in spreadsheet format.
  • Maintain an exceptionally high rate of customer satisfaction, and retention through effective relationship management, timely problem resolution, and personal attention to client account needs and concerns.
  • Assist in client specific proactive client data initiatives.
  • Advice management of customer acceptance of existing products and services and makes recommendations on enhancements or new services based upon client input.
  • Research and identify data quality issues reported through the Client or found through implementation of new file, and work with client to create a resolution.
  • Follow-through as necessary to get information from internal and third parties and have data errors/omissions corrected.
  • Serve as liaison with other divisions such as IT, Underwriting, Sales and Marketing in an effort to ensure accurate and timely technical matters, and problem resolution for client issues.
  • Outsource vendors for clients, provide training, and drive implementation of new software and benefit plans.
  • Review Insurance contracts to ensure Compliance with terms and conditions, and recommend revision where necessary.
  • Involved in developing the internal health benefits audit program, which was implemented as the regional standard PAR procedure manual.
  • Manage the creation and implementation of new policies and procedures and ensured compliance with existing firm guidelines, policies and procedures.
01/2004 to 05/2004
Intern Midland States Bancorp, Inc Champaign, IL,
  • Interact with professionals at various levels of the organization, to better understand the day-to-day roles and responsibilities of brokers and portfolio managers.
  • Assist Financial Advisors with review of clients' portfolios, and wrote financial summaries based on research from online sites e.g.
  • Morningstar, Bloomberg, and Hoovers.
  • Experience portfolio management and evaluation, risk assessment, and decision making based on clients' goals and risk.
  • tolerance.
05/2001 to 07/2004
Front Desk Supervisor Mckibbon Hospitality Plantation, FL,
  • Ensure staff is properly trained on systems, security and cash-handling procedures and service standards.
  • Run daily reports, identify any special requests and check reports for accuracy.
  • Provide coaching and conflict resolution and provide performance feedback to Management.
  • Follow up with maintenance and bell staff to ensure guest requests have been completed.
  • Set up guests' billing accounts, posted charges and ensured cash accounts were balanced at the end of shifts.
  • Serve as a central communications point during emergency or crisis situations.
Expected in
Bachelor of Science: Business Management
Coppin State University - ,
GPA: GPA: 3.7

Business Management GPA: 3.7

Expected in 2015
HTML & SDLC Certificate, 2007 NALA approved Paralegal Certificate:
Essex Community College University of Central Florida - ,
Additional Information
  • Honors & Awards: Deans' List Coppin State University Certificate of Merit for Superior Customer Service 1999
administrative, administrative support, Adobe, AVAYA, benefits, billing, Bloomberg, cash-handling, coaching, Compliance reports, conflict resolution, contracts, Client, clients, customer satisfaction, database, decision making, documentation, edit, e-mail, senior management, features, Financial, functional, Futures, hiring, HTML, HR, Insurance, Legal and Compliance, managing, Marketing, MS-Access, Excel, MS Office, Outlook, PowerPoint, 2000, MS Windows (XP, Word, Operating Systems, Paralegal, PeopleSoft, policies, problem resolution, processes, quality, quality assurance, relationship management, reporting, Research, risk assessment, Sales, SDLC, spreadsheets, spreadsheet, telephone, Underwriting, validation, Westlaw, workflow

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School Attended

  • Coppin State University
  • Essex Community College University of Central Florida

Job Titles Held:

  • Compliance Assistant
  • Compliance Associate
  • Health Benefits Consultant
  • Intern
  • Front Desk Supervisor


  • Bachelor of Science
  • HTML & SDLC Certificate, 2007 NALA approved Paralegal Certificate

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