Oversee, assess and identify significant operational risk within the business framework.

Risk management, quality control and surveillance to ensure compliance with in the firm and industry requirements.

Facilitated the relationship between Citibank and potential customers to drive sales and enhance the quality of banking product knowledge. Developed, implemented and executed a strategic plan for the banking trade area regarding the Citibank @ Work (B@W) program. Identified and called upon prospective business clients. Utilized established sales process opposite prospects. Supervised and assisted staff to conduct, coordinate and schedule seminars, on-site programs and deliver against the 12-month sales plan. Fully integrated all channels to a level cross selling aspect, especially focusing on the Commercial Market.

Supervised daily client account activity and regulatory compliance issues of Registered Representatives and their assistants. Provided review and approval of marketing materials, including newsletters, seminar presentation and print advertising materials. Performed annual branch reviews to ensure each location was compliant with the firm’s and FINRA procedure and guidelines. Provided guidance and support to all management levels to ensure consistent and sound risk management. Worked with firm legal department to research and resolve client complaints as well as respond to clients with written resolutions.

Performed compliance examinations and investigations of Branch Offices and Office of Supervisory Jurisdiction (OSJ). Examined the operations, financial conditions, adequacy of books and records, methods of conducting business and procedures for safe guarding funds and securities. Prepared reports, as well as correspondence outlining deficiencies and corrective actions. Conducted conferences and interviews with company personnel to determine possible regulatory violations. Informed personnel of any regulatory updates or changes. Maintained all licensing registrations, state renewal and continuing education on the CRD website. Reviewed advertisements, correspondence, exception reports, trade blotters, and account documentation as well as daily trading activity..

Processed bond execution orders, prepared balance report for traders. Assisted sales representatives in researching customer account problems. Received and processed mutual fund orders for sales representatives and balanced accounts daily. Provided administrative support to managerial staff..

Opened and closed investment accounts. Prepared, researched, and coordinated client trust, guardianship, retirement and pension accounts for representatives in over one hundred branch offices. Entered stock and option orders..

Processed due bonds, which consisted of researching the paying agent, submitting the bond for redemption and crediting the proceeds to the client’s account..