Sally Perez

Experience

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  Merrill Lynch

  Feb 1998 - Aug 2001

  Monitored client accounts for margin and Regulation T callsContacted the branch offices for resolution of margin callsCalculated and issued margin interest for both dollar and foreign currency accountsWorked with domestic and foreign settlement agencies to reconcile DAC/RAP and Trades Done Away items:Items were settled on time 98% of the timeMonitored accounts for trading violationsExhibited strong follow up skills Serviced inbound calls via network and assisted clients with questions regarding their 1099 statements and other general tax issues in a call center environmentWorked with computerized system for tracking, information gathering and troubleshootingExhibited strong time management skills while providing excellent customer service

  • International Margin Bookkeeper

    May 1998 - Aug 2001

  • Tax Reporting Representative

    Feb 1998 - Apr 1998
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  Bank of America Merrill Lynch

  May 1998 - Dec 2011

  Monitored client accounts for trading violations with regard to NYSE rule 431, SEC and FINRA and regulationsInvolved complex calculation of account obligation requirements which require accuracy and attention to detailAdministered penalties to accounts not in compliance to prevent client and firm exposureAdvised the branch office management team on compliance adherence:Increased branch office compliance adherence rate by 65%Implemented procedural changes in processing compliance and exposure issuesServiced inbound calls from branch offices:Reduced inbound call volume by 45% through coaching of branch office staffSent wires to bust trades done in accounts that are on the restricted list:Trades were canceled within allowed timeframe 97% of the time. This significantly reduced both client and firm exposureProvided comprehensive updates to business unit's Procedure ManualExpert at resolving escalated issues from the International branch offices (Latin America, Europe and Asia Pacific):Succeeded in problem resolution 100% of the timeGenerated reports on International and Domestic exposure items for senior management Show less

  • Service Analyst I - Senior Violations Specialist/Exposure Reporting

    Aug 2001 - Dec 2011

  • Senior Client Services Analyst

    May 1998 - Dec 2011
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  Deutsche Bank

  Mar 2023 - Aug 2024

  • KYC Analyst

    Jan 2018 - Aug 2024

  • Compliance Officer

    Sept 2013 - Aug 2024

  • Assistant Vice President

    Mar 2023 - Jun 2024
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  TD

  Aug 2024 - now

  Senior Compliance Testing Analyst