Kimberly King Email & Phone Number

Louisville, Ky, Us

Researched and validated internal inquires to ensure compliance within operational business units. Served as a liaison with external clients to resolve complex regulatory / compliance matters. Reconciled invoices to production and created cost analysis.• Balanced daily trade confirmation and prospectus files, ensuring compliance with current document requirements, addressing and correcting any issues, approving production of physical and electronic delivery before deadline.• Supported monthly statement project to ensure data accuracy and format were in compliance with current document requirements. • Managed all aspects of tax form production projects, including testing files of forms for proper layout, verbiage, and account information, coordinating with tax department, tax and print vendors, confirming forms were produced in accordance with IRS deadlines.• Managed project to analyze client performance statement files for content, communicating with internal departments, data vendor, and print vendor to deliver forms per company guidelines.• Obtained Series 7 License with only 2 months of study, preparing for future professional advancement, and gaining knowledge for compliance.

Settled foreign securities, government securities, physical certificates, and precious metals transactions. Ensured alternative investment forms were complete and accurate. Worked with branch personnel and fund companies to complete transactions. Balanced security positions monthly.• Ensured compliance with all regulatory entities by verifying and processing stock option exercises.• Worked on a project with management to develop and implement new internal procedures that supported the team’s capacity for efficient processing. This system was later adopted as a standard procedure.• Created procedure to track physical certificate processing, decreasing average waiting time by half.• Increased assigned job duties from 2 roles to 7, freeing other employees to focus on different tasks.• Cross-trained and became proficient in all department roles, covering when others were absent.• Simplified job sharing procedures, making both employees more productive.

Managed branch operations including compliance, loss control, and audit procedures. Taught tellers policy, procedures, and best practices. Ensured branch staff adhered to federal and local banking regulations. Coached tellers on balancing statistics, transaction volume, accuracy, and referral numbers.• Coached tellers to significantly increase referrals.• Tightened controls for teller line and bankers, ensuring compliance.• Onboarded new tellers and bankers.

Ensured teller line operations met current federal and local regulations for banking industry. Taught and tested teller knowledge of regulations and bank procedures as preparation of a branch audit. Processed difficult customer transactions. Reconciled proof error and balancing accounts daily. Referred products and services. Prepared work schedules.• Coached and mentored tellers, improving balancing, accuracy, and referrals.• Led underachieving branch to pass audit with an “A” score by coaching tellers, updating and maintaining records, and reviewing procedures.

Performed customer transactions. Balanced cash daily. Referred productions and services.• Used product knowledge, placing in the top 10% of teller referrals in the district every month.