-Developed macros across various processes to assist with optimization-Trained other employees in Regulatory functions-Worked with automation teams to assist with process optimization-Managed Worthless Security process including: reconciliation of accounts, new position transfers, and monthly market attempts-Oversaw and QA checked Institutional Regulation T process-Reviewed ~1000 institutional trades per day for compliance with Regulation T-Facilitated market liquidations in client accounts to comply with Regulation T-Filed trade extensions with FINRA for Institutional Clients-Educated client service reps and other stakeholders in Regulation T rules and requirements-Processed 17a13 Quarterly Security Count Audits to keep firm in compliance

-Developed macros across various processes to assist with optimization-Trained other employees in Regulatory functions-Worked with automation teams to assist with process optimization-Managed Worthless Security process including: reconciliation of accounts, new position transfers, and monthly market attempts-Oversaw and QA checked Institutional Regulation T process-Reviewed ~1000 institutional trades per day for compliance with Regulation T-Facilitated market liquidations in client accounts to comply with Regulation T-Filed trade extensions with FINRA for Institutional Clients-Educated client service reps and other stakeholders in Regulation T rules and requirements-Processed 17a13 Quarterly Security Count Audits to keep firm in compliance

-Reviewed ~1000 institutional trades per day for compliance with Regulation T-Facilitated market liquidations in client accounts to comply with Regulation T-Filed trade extensions with FINRA for Institutional Clients-Educated client service reps and other stakeholders in Regulation T rules and requirements-Processed 17a13 Quarterly Security Count Audits to keep firm in compliance

• Analyze investor needs and determine the best use of funds given a client’s risk availability• Provide financial and investment education to clients• Maintain records in customer accounts• Use applications for trading, transfer of assets, and quotes• Earned Series 7 and Series 66 licenses for trading and advising on financial products and securities

-Delivered pizzas to customers, prepared and packaged food, trained in all areas of store and assisted where extra help was needed-Fastest delivery driver in store for 12 months, which lead to decreased delivery times overall and increased customer satisfaction

-Maintained gym and softball field during seasons-Operated scoreboard for recreational league basketball and softball games- Managed game progression: timeouts, delays, adherence to rules, etc

- Provided customer service- Operated point of sale terminal