-Supervise the Advisor Relations department by ensuring accuracy and efficient processing of new account forms, review and approve money movement transactions, reporting suspicious activity, email correspondence review of subordinates to ensure clarity, propriety and accuracy, and provide brokerage form requirements to the various independent advisors on the Ceros platform while understanding and adhering to daily processing timeframes.-Understand, apply, and adhere to SEC, FINRA, AML, OFAC and Ceros Financial Services guidelines for transaction processing, new account openings, trade entry and all required reviews.Review, resolve and maintain record of escalated issues; communicate and report results of research and analysis to supervisors. Reports include brokerage account asset reviews (mutual funds, equities, futures, alternative investments), and market condition analysis during the time in review.Review international money movement transactions and new accounts of the German affiliate office in compliance with United States and German financial policy. -Implement new system programs for the firm ensuring proficiency and efficiency of use for all impacted users. New system implementation includes completing a schedule with vendors that ensures testing system processing variables, understanding new system limitations, and training users. -Generate weekly ad-hoc reports which range from total assets under management, new assets under management, asset type to review changes in market valuation in various aspects of company business to be reviewed by upper management.-Train advisory offices on the National Financial Services platform system and procedures via in person or web meeting.-Assist the in-house trade desk by reviewing and entering trades, communicate with sub-advisors of Mutual Funds regarding the trades of the business day.

-Open new brokerage and retirement accounts for national and international clients.Initiate and track account updates, set up transfer of assets, cost basis updates, and money movement transactions with strict adherence to money movement policy and procedure. -Research and relay information regarding the brokerage platforms to colleagues, advisors and their assistants. Such research includes systems reviews, report generation, and upcoming industry updates.-Implement new advisors to various financial services platforms such as Fidelity Clearing and Custody Solutions and TD Ameritrade. The implementation process involves ensuring the new advisor understands both Ceros and the clearing firm’s policies as well as proper industry practice.

-Monitor branch and banker sales via Excel spreadsheets and other proprietary banking systems.-Review and process payroll for branch staff.-Monitor branch cash levels in adherence to operations and safety guidelines.-Train new hires in all teller functions, Anti-Money Laundering requirements, and US Bank best practices. -Assist with daily opening and closing procedures of the branch, advise bankers on proper transaction completion, resolve client issues, mentor bankers to help them meet personal goals within the bank and to identify issues they would like to resolve, while maintaining and meeting my own goals.-Analyze the direction of the branch by monitoring balance growth, customer service and sales levels. -Analyze and correct transaction and processing errors to ensure proper balancing on a daily basis.-Review new consumer and business accounts paperwork in addition to loan paperwork for accuracy to comply with Federal Regulations and US Bank policies, as well as to prevent fraud. -Understand and apply bank policy upon establishing checking, savings, loan, and credit card accounts for US Bank customers. -Ensure strict understanding, compliance and application of the Federal Anti-Money Laundering Act and Bank Secrecy Act. -Met established sales goals on a monthly, quarterly and annual basis.-Exceed customer satisfaction surveys on a monthly, quarterly, and annual basis.