Eric Tocco Email & Phone Number

Milwaukee, Wi, Us

Milwaukee, Wi, Us

• Won 1st place in the Digital Workplace & Corporate Solutions Hack(AI)thon• Nominated and serve as Current Enterprise Compliance Diversity & Inclusion Council Lead• Rated as “Highly Successful” on performance reviews for the last 2 years• Work directly with entity CCO, compliance staff, and business staff to test procedures, processes, and controls• Consult with CCO to develop, maintain, and revise comprehensive entity test plan, which may span multiple years. Prioritize testing for each calendar year based on assessed compliance risk• Develop test steps and implementation plan for complex, emerging compliance issues• Collaborate with team manager, assign testing to team members, document assignments in database, and follow-up with team members to monitor progress throughout year• Coordinate assigned testing with business departments and internal audit and serve as a liaison with key business partners by communicating with directors on matters that impact testing assignments, systems, and processes• Train and consult with compliance and business staff about developing effective procedures, controls, and written supervisory procedures• Perform quality reviews of testing documentation prepared by Compliance Assurance staff and communicate results to team managers

Milwaukee, Wi, Us

Obtained Series 7 and Series 24 Licenses

Minneapolis, Mn, Us

• Received Bronze Shield Award for the on boarding process of GE Asset Management• Managed, motivated, and collaborated with 7 staff members daily who are responsible for the quality review of mutual fund transactions, new account set ups and maintenance• Prepared and presented presentations for prospective clients as well as Due Diligence visits from current CCO’s of already serviced Mutual Funds Companies• Assisted with internal and external audits to renew ISO 9001 Certification and pass audits conducted by the OCC to ensure the safety and compliance of everyday activities• Accountable for ensuring all Service Level Agreements and Standards are fulfilled on a daily/monthly basis • Ensured quality control issues are resolved and maintained group standards for financial and non-financial volume• Member of the Action Improvement Management System Committee (AIMS) which is tasked with reviewing all Continuous Improvements submitted by USBFS• Directed interview process, candidate selection, employee training, development, resource and procedure enhancements, performance evaluation and progressive disciplinary action

Minneapolis, Mn, Us

• Received the "MVP Award" for meeting and exceeding productivity goals of monitoring and evaluating quality of work measured against timeliness and accuracy• Achieved the "Excel Award" in recognition for valuable contributions within the department• Selected to act as a team mentor to give feedback and assist in the training of 4 new employees• Documented quality issues, performance measures, and quality improvements for management review• Verified all processing of shareholder transactions for accuracy and completeness

• Contacted and interacted with prospective clients to determine needs and explain services• Built and maintained client base to update current plans and recruit new clients • Interviewed clients to determine assets, liabilities, insurance coverage, tax status, and objectives• Analyzed and interpreted client financial information to determine strategies for meeting financial goals and developed financial plans based on analysis

Deerfield, Il, Us

-Collaborated with colleagues to respond to patient's questions and concerns in a timely manner-Communicated with doctors and insurance companies to get the most effective and cost efficient medications for patients-Received written prescriptions, refilled requests, and verified that information was complete and accurate-Compounded specialty medications and recommended over-the-counter drugs based on patient's needs and concerns-Prepared medication for patients through mixing, counting pills, and labeling bottles