Seth Williams

Experience

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  Central Florida Direct

  Jun 2007 - Jul 2007

  Independent Distributor

  Business to Business salesDeveloped and executed sales planTracked inventory for sales team

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  Conifer Health Solutions

  Oct 2007 - Mar 2012

  Referral Rep. / Survey Research

  Accommodate a high volume of calls while providing excellent customer service to individuals looking to obtain a physician or register for programs and eventsUpdate and input physician rosters into multiple system databasesUnit Coordination and delegation of patient medical cases to several nursesAnalyze, edit, and import hospital event rostersTrain employees on special projectsSelected by administration to join and develop HCAHPS Survey Research Department

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  Raymond James Financial, Inc.

  Mar 2012 - Aug 2016

  Scheduling of assigned examinationsPerform data collection in compliance with examination program requirementsAnalyze collected data to identify irregularitiesConduct onsite examinations to evaluate compliance with written policies and proceduresDraft and distribute examination related communications to internal customers, external customers, and managementManage examination related travel expensesProvide maintenance of proper books and records relating to areas of assigned responsibilitiesReview exception and other internal reports in complianceParticipates in addressing sensitive compliance issues with managementRecommend process improvements to enhance the effectiveness and efficiency of firm processesProvide training and assistance to other associates on full examination process and all other responsibilities Show less Determine required actions and processes by reading materials furnished by affected companiesNotify FA’s about corporate actions affecting their clientsProcess and allocate cash dividends, dividend reinvestments and stock dividends for domestic cash dividend securitiesProcess interest and principal payments for corporate bonds and CDsProcess daily reports to update account statusesUpdate client and firm accountsHandle telephone, fax and email inquiries regarding past and current corporate actions from Branch and Home Office associatesProvide training and assistance to other associates as needed Show less

  • Compliance Examiner I

    Jun 2014 - Aug 2016

  • Corporate Actions Associate II

    Mar 2012 - Jun 2014
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  Global Financial Private Capital, LLC

  Feb 2017 - Jun 2019

  Compliance Coordinator

  o Development and implementation of detailed branch examination program▪ Created branch examination questionnaires▪ Created risk-based scoring matrix used to rate branches after an audit▪ Created branch oversight process to monitor advisor checks and securities, gift and gratuities, and political contributionso Created and maintained efficient and cost-effective branch examination trip scheduleo Created Best Practices communication to prevent branch deficiencieso Created compliance file record keeping systemo Conducted branch office auditso Provide essential feedback to advisors, management, and compliance officers to correct any actions/practices that are not in compliance with industry and company policies and procedureso Primary resource for interpreting company policies and procedures in response to internal compliance inquireso Risk Management Show less

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  AssetMark

  Jun 2019 - Oct 2021

  o Provide administrative training and support to Advisors with AUM of $25M or higher and Sales Teamso Ownership and accountability for any questions, issues, and concerns received from Advisors, Sales Team, and external customerso Evaluation of daily activities for process improvement opportunitieso Participation in selected departmental process improvement initiativeso Training new associates Advisor support, training, evaluation of daily activity for process improvements, risk management.

  • Gold Relationship Manager

    Jun 2020 - Oct 2021

  • Advisor Services Relationship Manager

    Jun 2019 - Jun 2020
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  Newport

  Oct 2021 - Dec 2023

  Compliance Officer
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  Ascensus

  Aug 2023 - now

  Compliance Officer/AML Officer at Ascensus LLC