Alice Perkins Email and Phone Number

Global regulatory remediation for institutional clients. Emphasis on client relationship management, strategic client outreach, and business compliance. Versatile and flexible manager with a track record of quickly adapting to an organization's needs and the ongoing changes in operations and regulations. Solution-focused management style to maximize employee and systems performance and productivity. Expertise with tasks that require social intelligence, complex critical thinking, and creative problem-solving.

● Managed the suitability global compliance program comprising of over 12,000 counterparties for the FINRA 2111 regulation● Assisted and supervised integration of third-party vendor Dealogic with internal documentation retention for the purposes of client certification management in order to minimize client interaction and gather required data efficiently● Determined client impact and outreach approach related to the SEC Muni Advisor Rule and coordinate with sales, compliance, and clients in remediation efforts for over 2,800 accounts● Monitored Know Your Client (KYC) compliance by collaborating with sales and trading desks along with various operational teams, successfully resolving over 3,000 accounts● Supported Dodd Frank initiatives through reconciliation of Markit Questionnaire submissions with internal account data to ensure accurate client information, enabling internal personnel to track client compliance with regulatory requirements● Aided in global effort to resolve accounts and responsible for all closure proceedings for over 5,000 accounts not in compliance with Global Rolling Review, FINRA 2111, Dodd Frank, Muni Advisor Rule, KYC and other regulatory requirements● Trained 15 new consultants with regulatory content knowledge and utilization of systems and applications