Monisha Mapp Email & Phone Number

New York, Ny, Us

Summit, Nj

Jersey City, Nj

Examine and analyze supervisory and operational activities, documentation and records of branch offices to ascertain risk and control issues while ensuring compliance with FINRA regulatory requirements and MSSB’s internal policies and procedures.Supervise and train junior branch examiners in conducting on-site examinations of MSSB branch offices throughout the continental U.S.Train and mentor branch manager candidates in the Leadership Development Program (LDP)Review, manage and follow the branches corrective action process by providing corrective action plans (CAP) to ensure implementationConduct interviews with branch personnel for clarification of observed discrepancies of disclosed activities or evidence of unapproved outside business activitiesConduct on-site visits with brokers and Branch Management Teams to evaluate and review supervisory proceduresUtilize the Compliance Max web based system to record and track exam progress, results and correction action plansReview and evaluate performance with junior branch examiners

Review branch correspondence files, ensure that outgoing correspondence is reviewed by a qualified manager/delegate for compliance with regulatory rulesReview third-party wire transfers and journals for potential suspicious activity and escalate to AML compliance for further investigation if warrantedReview Enhanced Due Diligence (EDD) forms to verify accuracy, completeness and adherence to the USA PATRIOT Act, BSA and internal AML policies and proceduresReview client profile information to ensure data is accurate and properly updated to reflect qualifying life change eventsConduct on-site visits with brokers participating in Bank Referral Programs or Bank Investment Centers to review marketing materials and statements for appropriate disclaimers, proper signage, and interviewed bank personnel to ensure adequate controls and compliance with rules and procedures Conduct interviews with Branch Management Teams to evaluate and review supervisory procedures, trade blotter, employee statements and MIS reports.Conduct interviews with branch personnel for clarification of observed discrepancies of disclosed activities or evidence of unapproved outside business activitiesManage and follow the branches corrective action process by providing corrective action plans (CAP) to ensure implementationInput management highlights into the Global Activity Tracker (GAT) to track and control branch exceptions; Conduct annual compliance presentations to both registered and non-registered branch personnelFacilitate monthly Brown Bag Luncheons for senior management and branch examiners

Executed continuous Green Belt skill level to achieve direct and measurable results Defined problems and create the best possible solutions for statistical control Planned and conducted vendor claims audits and operational readiness reviewsAudited core processes to measure capability and quality levels Identified new opportunities and areas for improvement and apply basic statistical process controls Performed capability audits and report findings to the Operational Departments, Black Belts, Master Black Belt and Business Champions Participated on corporate AXIA project teams; interact with Executive, Finance, Legal and Operational staff Provided problems definition and analysis support to core operational processes

Managed unbundling of 1000+ Association affiliated small groups and sole proprietorships Extensive contact with marketing, enrollment and billing departments to input proper benefit sets and attach approved rates to assigned employer groups via Q-CareReviewed new business applications and supporting documents to ensure compliance and minimize exposure to riskKnowledgeable on Federal, State and Local health initiatives

Managed fifty portfolio lessees, monthly reconciliations and settlement of inter-company assetsEnsured monthly payments to investors of securitized assets were accurate and timelyApproved charges and adjustments; recorded journal entries and monthly accrualsObtained and input LIBOR, CBNA, FED and other rates as necessary for various lease dealsProcessed rate codes and stipulated loss value schedules for accurate billing

Reconciled over 114 sublevel accounts to G/L balanceInvestigated and researched to identify unapplied items or incorrectly posted proceedsExtensive interaction with leasing and accounting departments to clean up aged items

Managed state reporting process for tax year 2000Answered inquiries from branches and clients via phone and Global Wire SystemReviewed researched and corrected differenced and suspect amounts on Tax Status Error reportMatched all unmatched withholding items to appropriate tradesInternational Clearance Intermediate Service Representative

Msl, Corporate Compliance

Bs, Applied Math & Statistics, Economics

As, Independent Studies

Education record

Education record