Quality Assurance Representative
I am responsible for the administration of all Not in Good Order (NIGO) items and Quality Control (QC) of transactions within the Transfer Agent Processing (TAP) department. I review all NIGO documents from financial advisors, following up on and resolving incomplete documentation as well as external correspondence for the administration and settlement of transactions for our clients. Also, I provide support to the department by reviewing and analyzing transactions, providing causal analysis and feedback on NIGO transactions (including both financial and non-financial transactions) and Quality Control of transactions. I am responsible for fostering a culture focused on compliance, continuous improvement and risk mitigation by providing analysis and feedback on issues and trends in the department.