Lisa Kimalat Email & Phone Number

San Francisco Bay Area

Walnut Creek, CA

Manage Regional Client Service Supervisors and Financial Planning Teams for branch offices, and partner with other department leaders to implement processes that maximize efficiencies, and ensure adherence to compliance with the goal of supporting the firm’s growth, initiatives and positive client experience.

Walnut Creek, CA

Skokie, IL

• Managed the overall supervision of Registered Representatives and Investment Advisors; maintained the Office of Supervisory Jurisdiction’s (OSJ’s) books and records to ensure all activities, including those in.
• Analyzed trading exception reports to identify trends and instances of non-compliance, including customer identification and suitability, to assess any risks to the firm.
• Established and maintained compliance/supervision files and records, conducted e-mail surveillance, reviewed gifts and business entertainment reporting and outside business activities for conflicts of interests.
• Created and conducted training related to existing and emerging compliance issues, investment operations processes, and ethics and sales practices issues for new and seasoned Advisors.
• Delivered the firm’s Anti Money Laundering program, performed follow-up procedures and reported the completion of the Annual Field Compliance Meeting and enforced Code of Ethics to ensure compliance with the firm’s.
• Assisted in and conducted internal investigations, and maintained records regarding compliance audits.

Skokie, IL

• Monitored and oversaw the overall data administration, office administration and service support functions of the investment operations department, e.g., new account opening and approval, mutual fund order entry, ACATS.
• Managed employees including hiring, training, motivating, coaching and evaluating staff, and ensured cross-training on key functions, and provided backup support as needed.
• Trained Registered Representatives’ and Investment Advisors’ staff on investment operations fundamentals.
• Responded to client requests that required research or explanations, and was the primary contact for all trade corrections, commission adjustment resolution inquires and complaints.
• Cross-trained on duties of Compliance and specialized in the supervision of the review and approval of specific correspondence related to investment company products.

Chicago, IL

• Managed requests of gifting securities, Rule 144 Restricted Stock processing, Limited Partnerships and Alternative Investments review and shareholder claims such as Corporate Actions.
• Reported the department’s securities transaction activities to the Executive Management Team and prepared weekly security position reports.
• Maintained custodian settlement instructions and coordinated with brokers and custodians to resolve unmatched and failing trades, and reconciled clients’ portfolio asset data on multiple custody platforms, both.

Chicago, IL

Monitored and oversaw the overall data administration, office administration and service support functions of the investment operations department

Master Of Business Administration (Mba), Finance

Bachelor Of Applied Science (B.A.Sc.), Applied Mathematics

Diploma - Institute Of Data Processing And Management

Diploma with distinctions in Accounting, Business Modelling, Quantitative Methodology, Data Processing & Dbase Programming.