Jose R. Email & Phone Number

• Work on a high-performing team covering all aspects of Compliance for the Trust company, from operational oversight and first line of defense tasks to acting in an advisory capacity.• Partner with the Legal team to review and respond to subpoenas, summons, and other incoming legal documents.• Conducted Medallion Stamp program management, ensuring required training for current and new stamp users is complete, coordinating stamp destruction, and reporting back to the Medallion program.• Support mergers and conversions through data validation, process flows, test runs of the conversion switch over, and test case creation.• Represented compliance for a Forms, Literature, and Marketing project to overhaul, review, and approve all company materials.• Complete work on all aspects of tax information reporting, including state withholding, tax data set pull, validation, and tax form generation using multiple tax systems.• Assist in registering and initializing the Bank for 41 states’ SOS and DOR platforms to ensure compliance with individual state tax reporting and withholding requirements.• Support the preparation and training for implementing a testing and monitoring program for the Trust division to integrate with the Bank while aligning with a more traditional compliance model.• Conduct suspicious activity assessment and reviews and continue work with OFAC and CIP programs and 314(a) processes.Notable achievements while in the position have included:- Developed training for estate, POA, and fiduciary document reviews provided to the operations and management teams, including a training deck, job aids, full procedures, and control recommendations. - Led the amendment and restatement efforts for our Solo(k) population, partnering with our outside vendor to coordinate multiple mailings and contacts.

Englewood, Co

• Collaborated with business units to perform team audits, conducting guideline reviews, data requests, and reviews of risk identification to accurately recommend and present findings to management. • Directed efforts to resolve gaps in control environments, including daily control reports, SOC, and process reviews. • Responsible for projects and processes within the department, partnering with stakeholders on key business initiatives, including Fund Audits, request for proposal (RFP) responses, compliance, and other regulatory requests.• Facilitated audits with auditors, working with the business and auditors to ensure the flow of information, making sure everyone has the required information while mitigating risk.• Worked with external auditors, fund accountants, and fund treasury to provide accurate figures on fiscal year-year reporting for all funds.• Led the department's oversight through employee monitoring, system access administration, and review to ensure department reports were worked as required by regulatory requirements, internal compliance, and risk controls.• Partnered with Oversight management to develop dashboard and reporting solutions for long-term regulatory planning, compiling feedback on previous regulatory implementations to help defined project frameworks. Notable achievements while in the position have included:- Identified and executed a highly effective batch submission solution, working with business partners to clear 85% of outstanding items and produced a $24,000 cost savings.- Followed regulatory processes and completed the necessary communication and filings with the Department of Labor to have OFI Global Trust Company serve as the Qualified Termination Administrator to terminate abandoned plans and administer plan distributions. - Selected to serve as a member of a team created for the department's self-sufficiency related to reporting needs through maintenance and efficiency improvements on new and existing reports.

Englewood, Co

• Played a key role supporting the Investor Tax/Regulatory function while being held responsible for the content of the OppenheimerFunds.com tax center, department and transfer gent annual tax training and updates to CBT’s.• Created and filed IRS 945, 1042 and 8937 corporate filings in an accurate, timely manner. • Ensured the accuracy of 1,000,000+ shareholder tax forms, performing sampling, data validation, tax form formatting and base content for 1099-R's, Q, DIV, B, 1099-Misc and 1042-S (Foreign) and 5498 forms in addition to 3rd party tax services. • Led form SLT/SHL reporting efforts, gathering all holdings of all fund broken down by country to meet regulatory reporting requirements. • Provided high-level support for the entire transfer agent, working in collaboration with Corporate Tax, Technology, and Output regarding form generation and mailing.• Responsible for the CIP/AML function including the review of all eligible parties and shareholders according to the USA Patriot Act, FinCEN, and OFAC to identify and prevent money laundering and terrorist financing through OFI.

Englewood, Co

• Successfully negotiated and analyzed complex Small Estate Affidavits and Trust documents while serving as the point-of-contact for the team for any questions and assistance. • Supported performance improvements by assisting with side-by-side mentoring, providing feedback to teammates on areas of opportunity. • Led the team through web access on decreased accounts with re-registration and correctly identified areas of concern regarding broker information added on inherited accounts. • Worked in collaboration with TA Resources, RP Tech, and Estate Phones to ensure the delivery of high-quality customer service and accurate processing. • Placed outbound calls to shareholders, brokers, and attorneys regarding a wide range of non-negotiable items.Notable achievements while in the position included:- Utilized high levels of attention to detail to finish work over a 4-year period of time with only 16 errors, compared to the metric in which 100 errors would have met the goal. - Recognized as a subject matter expert (SME) regarding guidelines and processes including cost basis, excess and RAPS.

Englewood, Co

• Utilized expert level of knowledge in retirement plans to answer a wide range of questions, educate customers and to resolve outstanding issues from shareholders.• Provided exceptional levels of service to create a positive customer experience and to drive increases in both satisfaction and loyalty.• Made outbound calls for clarification on non-negotiable issues as needed.Notable achievements while in the position included:- Continually met daily phone quality and call time metrics while in the position. - Successfully trained Client Relations and Correspondence areas on EGTRRA processing.