Experience

• 

  Gain capital group

  Aug 2008 - Sept 2011

  As a Compliance analyst, I worked with a small team to ensure that the company and all associated persons were operating with high standards of integrity and quality and treating customers fairly. Among other things, I reviewes promotional materials and various forms of communications with clients to ensure compliance with regulators, the CFTC and the NFA.Highlights:• Designed and implemented a social media review process for the company which has proactively mitigated regulatory concerns• Reviewed and edited marketing materials to ensure compliance with NFA and CFTC regulations• Performed reviews of Customer Service and Sales department communications with current and prospective clients to confirm compliance with all relevant regulations and internal policies, providing feedback that has resulted in further training and reduced company risk• Assisted with the annual company-wide audits by the NFA, representing the Compliance Department in all matters related to marketing and the social media review process Show less • Performed due diligence on all prospective customers as part of the account opening process, including review of personal documentation and public records• Conducted AML review of potential customers, escalating areas of concern to managers• Reviewed partnership agreements and created affiliate accounts for Introducing Brokers to the company, including utilization of multiple back-office systems to guarantee that all necessary account protocols were in place• Assisted Marketing with generating templates for client emails in SalesForce Show less

  • Compliance Analyst

    Apr 2010 - Sept 2011

  • Operations (Client On-Boarding)

    Aug 2008 - Apr 2010
• 

  E*trade financial corporation

  Oct 2011 - now

  Responding to inquiries received from regulatory agencies.Responding to customer complaints received through regulatory agencies. - Review written customer complaints received through various sources, working with other departments to resolve any concerns and maintain client relationships while protecting the company's interests.- Respond to customer complaints in a professional manner.- Communicate with regulators regarding escalated issues.- Respond to FINRA inquiries. - Review instances of past fraud to identify potential gaps in policy and establish new rules to keep up with the changing fraud environment.- Specialized in use of Visa systems to review Reg-E claims, data mine for trends, develop and implement new card use rules.- Perform client impact analysis for new rule logic.- Worked with Actimize, SilverTail, and SalesForce as tools to monitor and record fraud.

  • Senior Compliance Analyst - Regulatory Relations

    Dec 2014 - now

  • Compliance Analyst

    Mar 2013 - now

  • Fraud Prevention Analyst

    Oct 2011 - Mar 2013
• 

  Morgan stanley

  Oct 2012 - now

  Director

  I work with a small team of dedicated professionals to review customer concerns, working with business partners to improve the client experience and ensure compliance with applicable regulations. In this role, I have experience across both the brokerage and banking sectors.