Research And Communications
Overland Park, Kansas
Reviewed, analyzed, and communicated paperwork deficiencies to advisors. Researched complex account histories to satisfy FINRA inquiries or beneficial ownership questions.*Helped advisors learn best practices to improve their experience with the home office as well as their efficiency *Helped department decrease number of items requiring revisions by 33%*Identified requests on a daily basis that violated company policy, regulation, tax law, or that may have presented AML concerns*Collaborated with other departments to address more intricate situations when necessary*Tracked rejections of client checks in a central location to identify trends and maintain compliance. *Produced reporting based on this data each month. Pivot tables and charts utilized to help visualize trends*Assisted in development and completion of projects for the team, such as training resources for our financial advisors.