Gabrielle Woods Email & Phone Number

New York, New York, Us

Professional work includes theatre, on-camera, voice over, print, corporate industrial training videos and trade showsActress with lead roles in theatre that obtained Jeff Recommendations, award nominations and high ranking reviewsActress in on-camera roles including a national TV commercialBest Actress Award nominee by the African American Arts Alliance of Chicago

Westlake, Texas, Us

Westlake, Texas, Us

Us

Led the end-to-end integration of a new rule change from concept, implementation and auditPrepared responses for SEC and FINRA exams while providing recommendations to improve the department’s surveillance and supervisory proceduresPerformed policy and procedure writing: collaborated with senior leaders to create a cyber security incident response plan that was adopted by Loop Capital’s Cyber Security Committee, authored new policies within the Firm’s Written Supervisory Procedures to reflect current MSRB and SEC rules, and developed guidelines for various compliance tasks within the departmentManaged key tasks for the department such as: attending SIFMA conferences and member calls, annual continuing education (CE) administration, monitoring gifts, political and charitable contributions, email surveillance, outside activities review, regulatory filings, approving advertisements and investment banker presentations to municipal clients, processing eDiscovery legal hold requests for subpoenas, and vendor managementSupported the Public Finance investment banking team: advised on various compliance issues related to FINRA and MSRB rules, provided education through presentations, prepared compliance related answers regarding Request for Proposals (RFPs), and conducted quarterly due diligence audits of investment banking deals to ensure employees documented, reviewed, and submitted the required information prior to closing a bond deal. Through these efforts, two major risk gaps were mitigated.Reviewed equity client onboarding files for accuracy to ensure proper Know Your Customer (KYC) documents were obtained: FinCEN Beneficial Ownership Certification, AML policies and OFAC checks

New York, Ny, Us

Implemented procedural changes that created a new comprehensive insider trading review programManaged trade surveillance program: led resolution on long standing audit issue which reduced potential enforcement action by FINRA, monitored personal brokerage accounts for suspicious activity, reviewed employee trading activity and enforced company policy for missing pre-clearance and restricted list tradesAdministered compliance policy certifications to new temps/contractors as part of the on boarding processAssisted in various projects such as branch audit reporting, monitoring gifts, enforcing the completion of annual policy certifications and continuing education requirementsMaintained paper and electronic compliance records, including the creation of a trade surveillance manual, a first for the department

Columbus, Ohio, Us

Built partnerships with managers and HR personnel to include a Retirement Specialist at new hire and training meetings. This resulted in 20 trainings and HR meetings that produced an additional $200,000 in annualized new enrollments within 4 months.Promoted the benefits of participants diversifying their portfolios with the use of Nationwide’s Managed Account service. Within 6 months of field work the 2013 yielded sales were 126% for the yearly goal representing over $2 million in sales. In 2014 production was over goal at 130% with over $5 million in transferred assets into Managed Account.Reviewed external customer mutual fund trades for accuracy and completion. Additionally, assessed client accounts to ensure forms were mailed and received in proper order for timely processing. Attention to detail led to timely correction of trades to prevent losses.Investigated customer complaints to determine sound resolutions that were compliant with government laws as well as company compliance standards. Throughout the investigations, consistent and thorough communication was maintained with the client.

Greenwood Village, Co, Us

Managed clients with up to $1 million in assets under management through working with key decision makers. Responsibilities included plan performance reviews, updating contracts, assisting with online services and initiatives, and creating strategic marketing plans to meet client needs.Presented at Board Meetings and Finals Presentations involving Mayors, CFOs, General Counsel, and Committee members that helped the company in winning 2 new Request for Proposals (RFP) with plans up to $25 million in assets. The RFPs were obtained within a 2-month time frame.Delivered education seminars to emphasize the importance of saving for retirement. These seminars included enrollment fundamentals, basic and advanced investment education, asset allocation, regional workshops and benefit fairs.

Radnor, Pa, Us

Radnor, Pa, Us