Medica: Assisted with complex data mining and report generation utilizing Oracle, Excel and Access

The Clifton Group; Reconciled institutional client account statements against bank and brokerage statements involving Futures transactions in equities, financials and commodities. Audited pre and post software conversion statements for conversion accuracy.

McKesson Medical; Developed excel spreadsheet to determine client's purchasing discount eligibilitySupervalu; Accounts Payable. Coding, processing and payment of Fixed Assets invoices. Monthly reconciliation of Fixed Assets Clearing Accounts.Cenveo: SEC Filing Specialist. Electronic filing of prospectuses, annual reports and related documents for Ameriprise mutual funds, annuities and life insurance products. Worked closely with Ameriprise's legal department. Created, edited, proofed and submitted documents via SEC's EDGAR online system

Trading Assistant. Facilitated trades of Money Market traders. Verified and cleared individual trades of up to 1 billion dollars in Commercial Paper and Government securities. Entered trades on Wells Fargo trading system. Insured that all aspects of trade details were correct. Verified money movements and security positions daily. Confirmed trades with contra-brokers and fund accountants. Provided a high level of accuracy in a fast-paced, deadline oriented environment.

Wells Fargo: Mutual Fund dividend processing. Municipal bond portfolio reconciliation. Institutional Trust operations. Computer conversion assistance. New brokerage client account set up. Employers Association: Accounts payble and receivable. Set up and maintenance of member accountsLPL Accountants: Organized and reviewed individual and sole proprietor tax returns for completeness and accuracy

Established new entity as a licensed Broker-Dealer. Developed and produced compliance manual summarizing SEC and State regulations. Trained Insurance reps regarding Broker-Dealer rules and regulations. Established and maintained reps' registration through the NASD/CRD system. Implemented operational systems: MAS 90 General Ledger, Techmate Mutual Fund software. Produced mutual fund commission payments. Produced monthly Net Capital Focus reports and submitted to SEC. Licensed with Series 7, 63, 24 and 27.

Compliance Officer. Responsible for all compliance functions of the Broker-Dealer. Developed and published compliance manual which outlined procedures and responsibilities. Reviewed new client accounts for suitability. Resolved customer complaints. Facilitated SEC and NASD audits. Researched and responded to regulatory agency’s requests for information. Licensed with Series 7, 63 and 24

Conducted on-site audits of Broker-Dealers. Reviewed client accounts and trade confirms to identify unsuitable trading practices and Mark-Up violations. Investigated client complaints regarding Broker-Dealer sales practices on all products including mutual funds, penny stocks and limited partnerships. Researched “Blue Sky” laws. Summarized case findings for the Commissioner

Facilitated settlement of derivative investment trades such as Financial Futures, Options, Interest Rate Swaps. Posted relevent GL entries. Settled foreign exchange transactions.