Private Client Group Compliance

The Yellow Frame Project is a nonprofit organization dedicated to celebrating and nurturing the innate creative spark within every individual. Through engagement with individuals in care facilities or group residences, we offer a supportive and inclusive environment where participants can freely express themselves through various artistic mediums such as painting, drawing, coloring, collage, constructing, and photography.The premise for the Yellow Frame Project is simple and without cost:• The Project provides sunshine yellow frames to participating entities.• A designated gallery is established in each participating facility.• A commitment is made to showcase the creative work of all who wish to take part. Any medium. Any style. No judgment. No required skills. No limits. All amazing. • The Project in no way competes with the essential work of activity/program directors or art therapists.• The Yellow Frame Project kit will include signage and descriptive information.At it’s core, the Yellow Frame Project is simply there to shine a spotlight on the creative expression of the doers and makers, energize those involved, and give a bit of well-deserved public recognition to the creative spark that dwells in everyone.Please contact us at info@theyellowframeproject.org or visit https://www.theyellowframeproject.org/ to learn more.

• Conducted branch audits for Lincoln’s 1,200+ field offices nationwide, adhering to the strict compliance guidelines required of all three Broker/Dealers.• Lead the implementation of comprehensive quarterly updates to the Field Audit Worksheets and RegEd Branch Audit Workbooks, ensuring compliance with evolving FINRA regulations.• Provided ongoing coaching to team members on updated regulatory policies and audit procedures, fostering continuous improvement and adherence to compliance standards.• Coordinated with Directors of Supervision, OSJ Principals, and Branch Office Managers to proactively address ongoing compliance issues and systematic weaknesses within the Broker/Dealers.• Established and maintained trusted partnerships with Lincoln's financial advisors, ensuring their full comprehension of compliance regulations set forth by FINRA and the SEC.• Collaborated with senior compliance leaders to analyze quarterly audit deficiency reports, identifying emerging compliance trends and implementing effective risk mitigation strategies.• Redesigned the Field Audit Branch Inspection Program to facilitate seamless remote auditing during the pandemic, demonstrating adaptability and responsiveness to evolving circumstances.

The Leadership Preparation Program (LPP) is a highly competitive two-year program designed to accelerate a participant's professional development and prepare them for leadership roles within the company through various development activities, mentoring, and enterprise-wide stretch projects. Additional responsibilities on top of the Branch Auditor role included the following:• Designed a unique prototype and corresponding marketing strategy to enhance the appeal and enrollment of disability products among Generations Y and Z.• Engineered a personalized online dashboard for Lincoln’s retirement plan participants, aimed at boosting engagement and fostering the adoption of Lincoln’s digital tools.• Partnered with Career Services at Purdue Fort Wayne and St. Francis Universities to analyze historical hiring patterns, identify key hires, and develop a scalable model focused on attracting top talent to Lincoln.• Provided mentorship to individuals participating in Lincoln’s summer Internship Development Program, guiding them towards professional growth and success within the organization.

• Managed the opening and processing of all bank products, encompassing CDs, IRAs, checking/savings/business accounts, second mortgages, and diverse consumer loans.• Presented sales techniques to fellow bankers within the Fort Wayne market and neighboring branches, fostering skill development and knowledge sharing within the organization.• Assumed responsibility as the vault teller, overseeing fund ordering for the branch and ensuring optimal cash levels to support all branch operations.• Delivered personalized financial counseling and effectively cross-sold bank products, promoting lasting relationships with clients to expand and maintain the customer base.• Utilized exceptional leadership, organizational, and problem resolution skills in order to thrive in both independent and collaborative work environments.

• Cashed checks and processed deposits/withdrawals upon receiving appropriate balance and signature verifications• Referred customers to appropriate financial services and products as needed• Resolved all customer complaints and issues with high professional courtesy• Assisted with sales referrals and cross-selling programs

Accelerated summer development program designed for rising college juniors or seniors who have demonstrated leadership potential, strong critical-thinking skills, and a consistent track record of academic excellence.• Successfully conducted formal audit testing for diverse annual audit projects and effectively presented findings to team members and relevant business units.• Utilized both Excel and ACL Audit Analytics software to develop pivot tables, vlookup formulas, and sample testing methodologies for comprehensive analysis of internal audit projects.• Performed monthly monitoring to detect duplicate travel expenses, proactively identifying potential expense recoveries and promptly notifying concerned business areas.• Ensured the accuracy and currency of audit records by consistently updating the Accelus workpaper system with completed audit findings and relevant documentation.

• Assisted members with making menu choices in an informative and personable manner• Appropriately suggested additional items to customers to increase restaurant sales• Effectively communicated with kitchen staff regarding member allergies, dietary needs, and other special requests • Maintained a highly professional environment while working fluidly with other coworkers

• Guided students through the music-learning process including rhythms, dynamics, and the proper technique required to effectively play their instruments in order to compete on a national level• Facilitated activities that not only advanced the students’ musical skills, but also promoted physical, emotional, and social growth• Worked closely with other staff members to develop innovative approaches to teaching so that students with all different styles of learning could realize their full potential• Encouraged students to work as a team, while using positive reinforcement to redirect poor behavior

• Produced and audited 404(a)5 participant fee disclosures for onboarding plans• Maintained and manually updated 404(a)5 disclosures for existing clients• Posted fiduciary required documents along with other plan documents to website for plan administrators to access• Updated fund level expenses and revenues specific to individual lineups then sent to plan sponsors to fulfill annual 408(b)2 requirements

• Assumed the role of manager on shift by recording inventory, maintaining deposits and overseeing all activities in the store• Collaborated between other team leads and managers marketing ideas for the company• Provided input regarding inventory and sales for the company• Answered customers questions pertaining to the facility, product, and company

• Expanded children’s swimming knowledge, ages 2-10, on basic swimming and rescue skills• Provided first aid support and comfort to injured patrons• Advised patrons of the rules and regulations of Auburn Community Pool