• Process domestic and international wire transfers for clients, ensuring compliance with banking regulations and producers. • Monitor and analyze incoming and outgoing wires for fraud and suspicious activities. • Collaborated with other departments to ensure accurate and timely processing of wire transfer.• Sound knowledge of Anti-Money Laundering (AML) and Know-Your-Customer (KYC) regulations and practices.

-Prepare mortgage and loan documents; including, Initial Closing Disclosures, Deed of Trust, Note, and applicable Riders in accordance with policies and guidelines.- Manage a high-volume pipeline of loans ready for closing, while maintaining accuracy and timely scheduling- Responsible for analyzing closing conditions with multiple type of loans program including Convention, Wholesale, ARMS, Jumbo, Government loan- Communicate and coordinate with title, escrow, attorneys and any additional third-parties to facilitate the signing, notary services for a mortgage loan closing, general ledger reconciliation, issuing wires, balancing wire and any changes prior to funding

- Support and advise financial advisors on compliance requirements, risks and controls to support sustainable businessgrowth and operations- Perform ongoing compliance reviews and monitor for crucial risk and performance indicators for early identification ofcontrol gaps and heightened risk areas comply with SEC, FINRA, AML, Investment Advisers Act of 1940, Security Act of 1933and 1934 regulations- Monitoring adherence to the Global Code of Ethics and the review of related subject areas, which includes but not limitedto personal securities transactions, potential conflicts of interest, gifts and entertainment, outside business activities, payto-play, and other regulatory requirements.- Assist in the evaluation of the adequacy of new applications, rollovers and transfer of securities to ensure no violations ofDouble Dipping rules, USA Patriot Act and Bank Security Act of 1970- Liaison between our advisors and security trade desk to provide surveillance of accounts under management for FreeRiding, Churning, Reverse Churning and Reg T Violations

- Reviews loan documentation request and identifies any issues and takes appropriate action to ensure the documentationpackages are documented in accordance with company policies and procedures- Communicates in a timely fashion with Processing, Underwriting, and Post Closing regarding questions and status of loans- Prepares loan closing documents and CD for delivery and closing with branches, escrow and title companies- Performs quality review of loan packages to determine the correctness of the documents as related to the loan structure,and to ensure consistency, accuracy, quality of documentation and that supporting documentation has been obtained