Samantha Dube Email & Phone Number

New York, New York

New York, New York, United States

• Trains Compliance Examiners in all aspects of the firm’s broker-dealer compliance program, including but not limited to: transaction surveillance; email and social media surveillance; branch office examinations; and.
• Serves as a subject matter expert to both Compliance Examiners and the salesforce on matters of broker-dealer compliance.
• Sets the standard by performing all Compliance Examiner duties at a high level.

Edison, NJ

• Identifies potential sales practice issues through surveillance of securities transactions.
• Reviews employee email and social media communications to identify potential violations of regulatory rules and firm policy.
• Conducts thorough on-site examinations of sales offices nationwide to ensure operational and regulatory compliance. Reviews books and records, interviews employees, and observes daily operations in the office to assess.
• Independently investigates potential violations of company policy and advises on appropriate corrective action to ensure compliance.
• Perform pre-hire reviews of candidates using FINRA CRD and public record searches.
• Ensure that U4 Reportable Events are properly disclosed on the Form U4 and gather required backup documentation such as court reports.

Pennington, NJ

• Provide exceptional customer service to Merrill Edge clients by processing distributions per phone request
• Responsible for ensuring transactions are processed in a timely manner while minimizing financial risk and potential exposure to fraud
• Research client inquiries to provide solutions and answers to any question or problem they may encounter
• Analyze customer requirements to ensure customer needs were satisfied

Greater New York City Area

• Assess technical needs of clients and respond with high quality solutions that meet those needs.
• Manage and organize office schedules to ensure all tasks are completed in an efficient manner.
• Monitor all invoices and receipts to confirm payment is received correctly and timely.
• Designed a comprehensive database detailing orders and tasks, which streamlined efficiency and promoted organization and accountability. As a result of my tenure, the business saw a 10% increase in business revenue and.

New Jersey

• Supervised a sales team of six employees in order to achieve sales goals and customer satisfaction ratings. By meticulously coaching and developing my team, branch metrics and customer satisfaction improved.
• Partnered with multiple associates across the organization to minimize cash-handling risk and exposure. As a result of my efforts, thousands of dollars in fraudulent payouts were saved.
• Compiled and audited critical reports to ensure branch was in compliance with all BSA/AML regulations.
• Multi-tasked in the most efficient manner, by which, I was able to handle a 20% larger workload then most of my colleagues..

Jamesburg, New Jersey

• Successfully assessed the retail banking needs of customers and responded with effective solutions that strengthened our relationship and the customer experience.
• Leveraged advanced technologies to deliver complex products to customers efficiently and effectively.
• Maintained a courteous and professional demeanor to assist both customers and coworkers alike, particularly during the merger by TD Bank.
• Performed all duties with excellence and in accordance to federal and local regulation. During my tenure, I routinely received 100% ratings on customer satisfaction surveys.

Bachelor'S Degree, Economics

High School Diploma, General Studies