Conduct real estate closings for residential purchase and sale transactionsExplain documents to borrower, gather required signatures and notarize affidavitsPrepare HUD-1 Settlement Statements, legal closing documents, balancing escrows, satisfying lender requirements and ordering surveys, estoppel letters and loan payoffsAssist in the review of title insurance commitments and typing final title policies, along with pre and post closing files

Prepared legal documents for the closing of residential home loans Explained documents to borrower, gather required signatures and notarize affidavitsReviewed all loan documents for the final loan package to ensure accuracy of signed documentsVerified that all conditions of the loan are met and follow up on any outstanding conditionsReviewed HUD and TIL for accuracy and high cost issuesDisbursed loan fundsInteracted with bank attorneys, loan officers, banks and borrowers on a daily basis

Reviewed retail surveillance systems to identify potential regulatory issues Liaised with IT department to ensure that compliance requirements and specifications are clearly defined and that systems are properly developedReviewed, updated and developed surveillance policies and written supervisory procedures to ensure compliance with regulatory developmentsInterfaced with compliance and business managers to continually assess and define surveillance requirements to help ensure compliance with federal, state, and SRO rules and regulationsEnsured proper follow-up of issues with respective supervisory personnelHeld compliance training and updated clients on compliance related matters

Monitored risk management system of all trading activity for proprietary tradersEnhanced and enforced trading policies and procedures Coordinated NASD examinations and Continuing Education training for employees via Web CRDPlaced orders for equities, options and conversionsExecuted trade breaks and corrected error trades

Handled Review and Release: A surveillance procedure for high-risk trade approval/rejection via ADPAssisted in development and testing of online trading system and examined marketing and advertising material prior to launchExecuted general equities, options and mutual fund tradesResolved trade disputes and errors in executionContacted customers for margin calls, account closings and bounced checksReviewed and approved new account documentation, account change requests and requests requiring letters of authorization