Erik Griffith Email & Phone Number

Charlotte, North Carolina, United States

Morrisville, North Carolina, United States

Support the Program Trading, AES and High Touch/Cash desks in the Cash Equities Division of Global MarketsActively work with traders, clients and various operation groups to ensure post trade executions booked and settle successfullyBook and amend trades, open new accounts, research and resolve trade and cash exceptions and breaksInvestigate all Prime.

Charlotte, North Carolina Area

Develop familiarity with Enterprise Risk ID Inventory specific to Wholesale, including risk drivers, ratings and rationalesExecute the requirements of the Risk ID program within WholesaleProvide guidance, training and support to the LOBs and Control TeamsFacilitate the integration between various Enterprise programs through the Wholesale BankDevelop.

Charlotte, North Carolina Area

Work with complex business units to provide compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities.Evaluate the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from.

Charlotte

Investigate and prepare responses to customer complaints received from Merrill Lynch Wealth Management and Merrill Edge customers, their agents, and regulatory entities with speed and precisionResearch, resolve and negotiate settlements of customer complaintsConsulted and coordinated with the Legal Department, Operations, Finance, Line of Business.

Charlotte, North Carolina Area

Analyze performance data from monthly reconiliation of over 800,000 advisor accounts on quarterly performance reportsGenerate Microsoft Access resports for server and database mainainence for performance and data reconciliationRan SQL queries to find outlying data and correct it to bring quaretly performance reports in line with real time expectaitons and.

Charlotte, North Carolina Area

Originally hired to run Fail Control for US Domestic Equities I was promoted to settlement of all commercial paper and MBS/ABS funding for WFSPoint person for the front office trading team that handled the settling of over $5 billion daily to fund our business activitiesCompiled reports related to daily traiding activity using analytical data for V-look.

Charlotte, NC

Originally part of a 6 person domestic settlement team, I absorbed international settlements while losing 4 team membersSelected to attend a 3 day training seminar for 'high performing' and 'high potential' associates Steadily eliminates an average of 89% of fails on a daily basis and 92% of failing trades over a rolling 30 day periodTapped to lead a.

Covington, Kentucky

Engage customers with requests for information and assistance with their individual accounts Execute the purchase, sale redemption or exchange of securities and tender offers in customer accounts Lead customers to an understanding of the options and solutions available to meet their needs Multitask quickly and efficiently under tight deadlines to meet.

Cincinnati, Ohio

Executed and completed complex activities, transactions and tasks regarding the firms books and records Apply well-honed skills and adapt to new procedures, processes and techniques for the completion of assignments Input daily pricing shifts in the net asset values and rate changes of client and customer mutual funds Participated in compliance audit.

Morrisville, NC

Member of a multifunctional team that cleared trades, settled cash differences and performed fail control on equity securities with daily trade value exceeding 2 billion dollarsCompleted the department's daily reconciliation for end of day activityBecame subject matter expert on settlement of deliveries within 6 months of hire Updated ledger of failing.

B.S.B.A., Marketing

Activities and Societies: American Marketing Association Mu Kappa Tau NC Food Bank Volunteer3.5+ GPA

Bachelor Of Arts, Communications, Public Relations

Activities and Societies: East Carolina Communication Organization