Alyssa P. Email & Phone Number

Charlotte, Nc, Us

Durham, North Carolina, United States

• Contract Management: Lead the drafting and review of partner and agency contracts; Liase with both external business / agency representatives and internal stakeholders (i.e. sales teams, regional managers, agency directors, etc.) to discuss terms, negotiate changes, and monitor deadlines; Enter pricing and special terms into Salesforce • Document Drafting and Management: Draft legal documents such as purchase and service agreements, lease agreements and correspondence, corporate governance documents, confidentiality agreements, etc.; Maintain accurate records / documentation to facilitate compliance audits and regulatory reporting• Compliance Management and Reporting: File annual reports, business licenses, and other documents ensure compliance with regulatory requirements; Manage compliance calendar, filing and response deadlines, company leases, and business licenses; Conduct audits; Assist in the preparation of compliance reports• Legal Support & Process Optimization: Support general counsel with intake, research, internal / external audits, responses, etc.; Develop policy & procedure templates and contribute to long-term projects aimed at optimizing compliance framework and enhancing operational efficiency between and within lines of business

Charlotte, North Carolina, United States

• Research & Analysis: Conducted research on brokerage complaint cases, often in partnership with internal departments, to identify the root cause(s) of customer issues, substantiate or refute case facts, and facilitate the implementation of relief and resolution measures • Case and Document Management: Managed inventory of complaint cases, ensuring adherence to our Service Level Agreements (SLAs) and adherence to regulatory requirements; Maintained case documents to support audits and quality assurance processes• Stakeholder Communication: Delivered resolution to involved parties through written and verbal communication; Served as point of contact for case participants throughout the lifecycle of escalated cases• Compliance: Developed a strong understanding of company policies and procedures as well as regulatory frameworks, including SEC regulations and FINRA rules, to ensure adherence to industry standards and mitigate compliance risks

Durham, North Carolina, United States

• Trading and Account Servicing: Executed transactions (EFT, wire transfers, ACH, journals) and trades (mutual funds, stocks, ETFs, options, margin) for Fidelity clients; Served as primary point of contact for brokerage account inquiries and provided guidance on available products and services• Industry Knowledge and Compliance: Achieved Series 7 and Series 63 FINRA licenses to advance knowledge of investment products, regulatory compliance, risk assessment, and ethical standards; Ensured compliance with internal policies as well as state and federal regulations throughout trading process; Monitored and reported any suspicious activities to compliance teams in accordance with anti-money laundering (AML) regulations • Performance: Achieved above-target Quality Assurance, call efficiency, and customer service survey scores each quarter