Reyn Watanabe, CAMS, MBA

Experience

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  TD Ameritrade

  Jun 2015 - Aug 2015

  Investor Services Intern

  - Efficiently spoke to customers on a daily basis to help assist with non-licensed needs- Showed excellent public speaking by presenting final project to top managers- Effectively determined ROI and other financial variables for the project

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  Cerner Corporation

  Aug 2016 - Jul 2019

  - In depth focus on contract analysis by comparing to client's current Scope limit- Identified client overages which added $1,000,000+ in annual revenue- Recognized subscription revenue in accordance to ASC 606 and GAAP- Processed subscription renewals timely prior to required increase notification dates- Completed ad-hoc projects and requests prior to deadline- Developed professional relationships across the entire company in each department - Audited client billing data for all of Cerner's clients world-wide- Analyzed contracts and perform data entry into multiple financial applications- Consolidated data for over 150 clients which has directly improved Days Sales Outstanding (DSO)- Collaborated with other finance teams to continually advise and improve audit efficiencies

  • Financial Analyst

    Jul 2018 - Jul 2019

  • Financial Specialist

    Aug 2016 - Jul 2018
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  Carson Group

  Jul 2019 - Oct 2024

  - Assist Firm's CCO and Carson Compliance to ensure compliance with SEC, state, and other (e.g., DOL) regulatory requirements (e.g., regulatory filings, disclosure requirements, books and records, etc.).- Supervise all activities of CWM, LLC Supervised Persons to ensure adherence to Firm's policies/procedures and regulatory requirements. - Conduct regular reviews of investment advisory activities (e.g., suitability of investments, client reviews, OBAs/PSTs, etc.) to identify and address conflicts of interest and/or violations of firm policies. - Partner with CWM, LLC’s CCO and Compliance team to develop, maintain, review, enforce, and update Firm policies and procedures.- Maintain appropriate Books and Records related to Firm’s Compliance and Supervisory efforts.- Provide partner offices with ongoing education and training on Firm’s policies and industry regulations, including new or updated rules or policies that will impact the Firm and its Supervised Persons.- Regularly utilize systems such as FIS, Smarsh, SiteQuest Compliance, Salesforce Reporting, and more. Show less - Developed, scheduled and executed over 25 risk assessments and annual audits a year according to advisor’s compliance calendar- Evaluated and assist all partners in the improvement of a process’ accuracy and efficiency- Ensured that all partnered advisors are properly licensed with state as well as the Securities and Exchange Commission (SEC)- Collaborated with department leaders to identify key partner risks to develop a risk-based audit- Constantly researched process improvements and successfully implemented a Virtual Audit Process that has saved $50,000+ annually in travel related costs- Created and maintained reports for all audit responsibilities within SalesForce- Reviewed OFAC Anti-Money Laundering (AML) screenings for 100+ partners through our SalesForce OFAC Compliance software- Maintained up to date ADV2B's for all 100+ partners audit them regularly for accuracy- Assisted in Advertising and Social Media review to maintain a company wide compliance culture- Became the go to person for many Compliance related topics- Contributed to a combined 90.47% Very Satisfied/Satisfied rating for Compliance audits Show less

  • Regional Supervision Manager

    Dec 2022 - Oct 2024

  • Compliance Analyst - Audit

    Jul 2019 - Dec 2022
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  FNBO

  Nov 2024 - now

  Sr. Associate, Investment Risk & Controls Lead