• Reviewed client complaints to determine validity, risk, and cause of the complaint.• Audited consultant phone calls, documentation, and interaction records to ensure firm’s compliance to industry regulations and standards.• Collaborated with back office teams including legal, payment operations, IT, and contract maintenance to correct and restore client account to proper status.• Drafted written resolution correspondence to the clients.• Documented all complaints and corrections for FINRA review.• Generated error reports to track the source of the error and the affected budget.

• Provided exceptional customer service while supporting front-line associates and managers in the service center, branch network and operations with escalated issues/calls ensuring issue resolution in a timely manner• Prepared a wide variety of compliance-approved client correspondence to promote client satisfaction and gain referrals • Effectively supervised resolution of issues related to fraud and compromised client accounts • Mentored interns, new hires and new brokers through the internal training zone programs to ensure exceptional customer service and strict adherence to policies and procedures

• Utilized extensive securities knowledge to interpret and explain SEC forms and regulations while working with issuers’ legal counsel to ensure documentation was in good order before placing trades• Efficiently explained complex rules and regulations to clients and internal associates concerning SEC Rule 144/904/701/145 and sell by prospectus• Ensured that TD Ameritrade was in compliance with SEC and FINRA regulations for Restricted Stock Trading and deposits to alleviate corporate trading issues• Effectively interacted daily with CEOs, CFOs and insiders for publicly traded companies as well as the attorneys who were writing their legal opinions • Provided exceptional customer service while facilitating communications with clients on complex buy-back issues for securities under SEC rule 15c3-3• Analyzed publications, reports, data; understanding the complexities and biases in the information