Kim Pearson Email and Phone Number

• Keeping up to date with company and industry regulations regarding financial institution activities • Performs daily and periodic Surveillance of trading activity and other activities of Financial Advisors • Ensures that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company • Acts proactively to identify potential issues and leads staff initiatives to improve and streamline surveillance procedures• Performing other duties as assigned

Personal Care Services that relieve the Busy Lifestyle!

Performed detailed analyses to detect transactional and relationship patterns, trends, anomalies and schemes across multiple businesses/products. Duties include performed risk analysis and modeling to provide input and recommendations for financial crimes strategies and models; prepareed documentation and refered cases for Suspicious Activity, Identity Theft Operations (ITO) and Suspected Financial Abuse, reported to government agencies and makes recommendations to senior management; identified and took action on control failures in bank processes and procedures, customer or team member decisions; develops and/or implements testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes and internal controls; conducts data and/or onsite reviews, analyzes findings, determines risk level and may recommend resulting fraud prevention strategies; drafted corrective action plans and participates in change management; leads, participates in and/or provides support for projects and initiatives. Responsible for conducting KYC (Know Your Customer) and EDD (Enhanced Due Diligence to verify and maintain records of the identity of customers and investors.