Michelle Nabiliwa Email & Phone Number

West Des Moines, IA, US

7021 Vista Dr. West Des Moines, IA 50266

Registered Representative with Cetera Advisor Networks LLC, member FINRA/SIPC, a broker/dealer a Registered Investment Adviser.

West Des Moines, IA

• Assist in the internal audit function for the Compliance department including annual compliance reviews and other internal audits as necessary to ensure supervisory procedures are adequate.
• Review and change policies and procedures to help ensure compliance with laws and regulations.
• Maintain accurate compliance records, to allow quick response to any inquiry or audit.
• Monitor proposed regulation, comment letters, and enforcement actions.
• Monitor trading activity.
• Assist in preparation of responses to audits and inquiries from the SEC, FINRA, etc.

West Des Moines

Business Analyst for one of several Quality Assurance teams. My functions included: >building out Standard Operating Procedures, >construct appropriate QA controls with appropriate positive and negative incentives, and >complete QA to keep the team current>provide testing against the updated Standard Operating Procedures.

West Des Moines, IA

• Review and revise WSPs, Compliance Manuals, BCP, and other documents for BDFS to ensure information and procedures are current and compliant with regulatory standards and firm practices.
• Developed a firm-wide manual to streamline advertising and correspondence review.
• Conduct on-going development and refinement of information repositories for Compliance use.
• Review client accounts and portfolios for suitability across multiple clearing and third party managed platforms.
• Building up financial planning and retirement plan lines of IAC business.
• Advertising Review

Des Moines, Iowa Area

I work with Retirement Plan participants, sponsors, and advisors to provide the best service experience possible. I process transactions, provide account and plan information as necessary, and go above and beyond in all my conversations with a positive can-do attitude.

Fairfield, IA

Responsible for 13F report filings and compiling the 13H report information to disseminate to the applicable areas. Third party money managers- completed due diligence review of agreements for establishing relationships with them, reviewed client paperwork for suitability, and provided guidance to rep/advisors regarding third party money managers.Solicitor.

Fairfield, IA

I analyzed and responded to requests for use of rep-requested and in-house advertising materials, sales literature, correspondence materials and other communications within a given timeframe. I pride myself on the ability to be flexible with reviews of materials while adhering to regulatory standards, and in the relationships I have established with.

Fairfield, IA

-Researched verbal and written grievances through reaching out to rep/advisors, firm staff, and clients to determine facts and complete appropriate responses. -Completed appropriate FINRA filings depending on the allegations, circumstances, and amounts.-Drafted responses to regulatory inquiries.

Fairfield, IA