- Resolve complex issues and reports any discrepancies to Manager.- Conduct investigation and research to resolve client escalations including trading and regulatory issues. - Assess and approve high value or complicated transactions placed by Investment Specialists according to the trading rules of the firm and act as a role of gatekeeper to prevent illegitimate market activities.- Assist the Compliance team to investigate regulatory and AML/ATF issues such as suspicious trade patterns or unusual transactions. Then prepare investigation reports to support conclusion. - Review and approve new account applications - Took the role as the Captain for Walk so Kids can Talk (2014) and United Way Ambassador (2012) to motivate the entire department for making those campaigns a great success.

- Provided professional quality services to clients and proactively extend new relationship opportunity by exploring benefits to meet the needs for clients.- Executed all trading and services requests with a very high level of accuracy. - Participated in User Acceptance Test for new projects to improve the operation efficiency such as improve the Contribution workflow process.- Mentored new hires and also provided option trader trainings to newly licensed agents.- Winner of the RSP sales campaign in 2007 as well as the internal sales campaign in 2008 and 2010.

- Led a Customer Service Representative team to provide exceptional customer service to clients.- Prepared weekly Sales analysis report with Excel. - Awarded the “Best Credit Card Promoters” for the MasterCard launch campaign.