Experience

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  Washington mutual

  Jan 2000 - Jan 2005

  Sr. teller/personal finance representative

  •Interacted face to face with clients to determine financial needs.• Processed variety of financial transactions.• Monitored risk factors to protect client and bank assets from money laundering,fraud, and terrorism. Created Suspicious Activity Reports when needed.• Sell products and services based on client's financial needs.• Won Frontline Award in 2003 ( Top 3% of company based on sales and referrals).

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  Charles schwab

  Jan 2006 - Jan 2018

  • Supervised four Operational teams regarding regulatory requirements, escalations, supervisor exceptions, outgoing correspondence, and high dollar issues (Up to $5 million per outgoing transaction) in a time sensitive environment.• Performed Office of Foreign Assets Control (OFAC) Sanctions Screening on potential clients to determine if individuals were a “Blocked Person” or appeared on “Designated Nationals List”.• Monitored daily workflow to delegate resources and staffing to appropriate channels on an as needed basis.• Instructed multiple training classes to teams on a variety of operational processes and regulatory best practices.• Coordinated with internal auditors to ensure numerous recordkeeping logs and processes within the Operations Department (multiple teams) were within regulatory compliance on a weekly, monthly, quarterly, and annual basis.• Worked with external business partners testing and evaluating operational processes department wide; resulting in 8% labor budget improvements.• 2016 & 2017 Charles Schwab Key Contributor Award Winner (incentive program that rewards Charles Schwab's most talented, high performing employees; with equity awards). Show less • Interfaced with internal/external clients and banks daily, to process and resolve thousands of $1M+ transactions, issues, or corrections on Brokerage, Managed, IRA, Roth IRA, Custodial, 401K, SEP IRA, and Simple IRA accounts.• Maintained numerous internal audit logs within Operations Department to ensure the Retail Operations Team was within regulation guidelines.• Partnered with Senior Management to streamline the Operations Department processes for Retail Cashiering, Managed Account, and Journal Teams.• Nominated and chosen by peers to represent the department in meetings with Executives or Senior Level Leadership. Show less •Completed self-study courses within 11 calendar months to obtain my FINRA Series 7, 63, 9, and 10 Licenses. •Interacted with banks, clients, and other internal departments regarding time sensitive financial transactions, issues, and concerns in a high pace, high stress, time sensitive environment.•Researched and resolved complex financial inquiries and disputes from high net worth clients. •Led operational logistics of overnight/expedited checks for the entire East Coast of the United States.•Company-wide internal liaison for any issues regarding expedited check request issues, exceptions, and escalations.•Maintained annual production rate over 128% with a 99.99% accuracy. Show less

  • Operations Sr. Specialist

    Jan 2016 - Jan 2018

  • Operations Specialist

    Jan 2015 - Jan 2016

  • Associate

    Jan 2010 - Jan 2015

  • Sr. Administrator

    Jan 2007 - Jan 2010

  • Administrator

    Jan 2006 - Jan 2007
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  Tetra tech

  Jan 2019 - Jan 2019

  Financial manager - project controls

  • Compiled data from various departments, project managers, and internal/external clients to create numerous labor, accounts receivable, and financial reports.• Led daily analysis reporting to support project managers for control of financial, cost, and schedule to meet contract requirements.• Integrated cost and schedule data within the company accounting and management systems to facilitate meeting the project's financial goals.•Coordinated with external clients to reduce the amount of outstanding accounts receivable. Show less

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  Charles schwab

  Jan 2020 - now

  •Investigate/ research trade error scenarios to determine whether a trade error occurred; details up to $5 million+•Correct Schwab trade errors to reduce risk of exposure to the firm. •Coach and train employees on error detection and root cause/corrective actions.•Perform supervisory review of outgoing correspondence for the department, to ensure FINRA rules and guidelines were followed.•Review incoming correspondence pertaining to client concerns and complaints, to determine whether any FINRA rules/regulations or Schwab policies were violated. Show less

  • Move Money Solutions Infrastructure-Research Sr. Specialist

    Jan 2021 - now

  • Operational Services Account Solutions Sr. Specialist

    Jan 2020 - Jan 2021