Alina Lee Santiago Email & Phone Number

Nationwide , Us

Nationwide , Us

* Onboarding New Advisorso Being the main point of contact for new advisors and their staff once they joino Coordinating client account data needed for transition to new custodian o Managing the training schedule for the new businesso Coordinating advisors ADV II, ACH transfers for commissions* Oriono Running point on relationship with Oriono Managing the process and questions for advisors onboarding their client data into the systemo Establishing webex training schedule for advisors and staff * Help complete the Zendesk/Way to track emails from advisors/models/etc. o Establish process of managing the email system* Greenrock Model Managemento Main point of contact for managing accounts under managed by Greenrock Modelso Overseeing accounts are properly linked after approved * Organizing Communicationso Weekly Partner Callso Quarterly Conference Calls with advisorso Annual Conferences* Quarterly billingo Overseeing reporting to advisors from all TAMPso Coordinating with CFO on any issues with payments received from custodianso Main point of contact for fee questions from advisors * Liaison between TD/Schwab/TAMPS/etc.o Main point of contact for advisors on custodians and advisorso Communicate with partners when issues need to be addressedo Attend monthly calls between partners and custodians to address ongoing issues

St. Petersburg, Fl, Us

Responsible for providing strategic and technical brokerage platform support for the Pershing, Albridge, and FOLIOfn environments. Develops and implements operational processes and services that improve effectiveness and support the growth of Transamerica Financial Network (TFN) distribution channels.Responsibilitieso Provide key leadership for Transamerica Financial Advisors (TFA) Pershing brokerage account platform and related systems. o Provide critical support of TFA wealth management solutions within the FOLIOfn platform, including direct support of daily processes and internal control procedures.o Improve field service and enhance advisor experience levels by analyzing key features of third party administrative platforms and recommending process deployments matched to field office needs.o Utilize TFA’s full range of products and services, technology platforms and compliance requirements to deliver customer service levels tailored to business growth targets.o Manage vendor relationships and service levels with the brokerage clearing platform (Pershing) and consolidated statement provider (Albridge).o Provide Operations project support as needed; work with Legal/Compliance regarding regulatory matters.o Keep up-to-date on new rules and regulations (e.g. DOL, FINRA) governing firm procedures.o Identify and develop operational service level metrics, including collection, analysis and reporting on operational impacts.o Consult with TFA leadership team for planning and execution of projects and initiatives to meet firm-wide operational goals and objectives; assist in project budget management.

St. Petersburg, Fl, Us

- Provide direct supervision of and training to Field OSJs, Branch Office Managers (BOMs), Branch Office Supervisors (BOSs) and Registered Representatives (RRs) assigned to the Regional Manager for all broker/dealer and investment advisory functions.- Assist in the creation of new registered branch offices, and in the development of existing ones. Accepts or denies requests for Non-Registered Locations (NRLs) in their assigned region. Monitor the activities of all RRs within the region in accordance with the firm’s Written Supervisory Procedures (WSPs).- Monitor the performance of Field OSJs, BOMs and BOSs to ensure they are able to properly supervise the RRs assigned to them. Designate, review, and remove Field OSJ, BOM and/or BOS status as needed, and, when necessary, for the suspension or termination of any RRs. - Visit branch offices to monitor for adherence to company policies and procedures, review annual audit reports and implements procedural changes to ensure that identified deficiencies are not repeated, and written correspondence and communications with the public in accordance with company policies.- Approve or deny outside business activities and private securities transactions requested by RRs assigned.- Final review and acceptance of Form U4s for all applicants. The review may include interviews with the sponsoring Field OSJ, BOM, BOS and/or applicant, and requests for additional supporting documentation.- Approves, recommends Heightened Supervisory Agreement (HSA), or refers to Special Review Committee for further action. Implement, monitor, and dissolve HSAs within the region.- Review and monitor Field OSJ’s, BOM’s, BOS' and RR’s completion and compliance with the firm’s Annual Compliance Meeting and Firm Element CE requirements.- Refer to and provides input, as necessary, to the Compliance Division on any regulatory violations, sales practice improprieties, or actual or potential violations of Firm policies and/or regulatory requirements.

Appleton, Wisconsin, Us

- Train and mentor three representatives and three associates within the Advisory Operations unit.- Provide training and support to registered Investment Adviser Representatives (IARs) and their offices by answering questions regarding account paperwork, website navigation, and asset movement statuses.- Work with the Advisory Operations Managers at our sister locations to standardize procedures for efficiency and as part of National Planning Holdings’ business continuity plan.

St. Petersburg, Fl, Us

- Execute daily trades to invest all funds received on TFA’s proprietary platform, Transamerica I-Series®.- Provide training and support to Investment Adviser Representatives (IARs) and their offices by answering questions regarding portfolio allocation, account paperwork, website navigation, and asset movement statuses.- Create and update sales literature and forms for the Transamerica I-Series® platform.- Train home office employees and IARs on the Transamerica I-Series® platform and all TFA advisory programs.

St. Petersburg, Fl, Us

- Serve as team leader by liaising between Florida-based managers and the Los Angeles Rep Relations team.- Fulfill customer service requests including account paperwork, registration and licensing, broker/dealer website, brokerage account platform, website navigation, compliance regulations and deadlines, and commissions.- Review and revise letters of indemnity written by team members.- Execute trades and facilitate asset movement, and approve exception-based trades placed by representatives.- Support the Advisory Services Department with operational assistance and back-up trading.

Ba, Economics, Psychology

Chinese Language And Literature

International Baccalaureate