Patrick Rezac Email & Phone Number

• Investigate customer activity via automated AML system and exception reports• Contact and collaborate with introducing broker-dealer personnel to assess DD/CIP information• Handle complex cases and prepare suspicious activity reports (SAR)• Investigate internal referrals and make recommendations to AML management• Review and analyze FINRA, SEC and other government-related requests

Perform wide-ranging duties, including conducting cash consolidation, preparing daily branch reports, and reconciling transactions in accordance with bank's procedures. Deliver exceptional support to customers in making deposits, cash withdrawals and other kind of transactions while providing best in class customer services. Process transactions accurately and efficiently, following bank policies, procedures and guidelines. Refer customers to appropriate financial services and products… Show more Perform wide-ranging duties, including conducting cash consolidation, preparing daily branch reports, and reconciling transactions in accordance with bank's procedures. Deliver exceptional support to customers in making deposits, cash withdrawals and other kind of transactions while providing best in class customer services. Process transactions accurately and efficiently, following bank policies, procedures and guidelines. Refer customers to appropriate financial services and products according to requirements while maintaining comprehensive knowledge of the complete line of products and services. Selected Contributions: • Managed compliance by generating compliance update notifications for all employees on weekly basis. • Prevented potential loss of bank by identifying and controlling fraudulent activities. • Maintained knowledge of banking laws and regulations by participating in company training and individual learning of national and industry regulation documents and web sites. • Contributed in the United Way Committee providing leadership in planning and executing activities. Show less

Greater Omaha Area

Guided business partners by responding to queries regarding fund specific requirements and eligibility. Administered dividend reinvest/cash, cross class exchanges, transfers outside the ACATs system, mutual fund cleanup and fail reversals in the ACATs system as well as daily settlement files. Served as a subject matter expert for the brokerage platform and root cause of breaks between TDA, the Fund, DTCC, etc.Selected Contributions: • Successfully received Ameritrade dollars for… Show more Guided business partners by responding to queries regarding fund specific requirements and eligibility. Administered dividend reinvest/cash, cross class exchanges, transfers outside the ACATs system, mutual fund cleanup and fail reversals in the ACATs system as well as daily settlement files. Served as a subject matter expert for the brokerage platform and root cause of breaks between TDA, the Fund, DTCC, etc.Selected Contributions: • Successfully received Ameritrade dollars for positive performance and work ethic. Show less

Contributed to inputting and quality reviewing retirement distributions records and other record keeping transactions in compliance with varying plan rules and IRS regulations. Responded to commonwealth advisors’ queries promptly.Selected Contributions: • Led department in knowledge and understanding of working with Keane Unclaimed Property Services.

Streamlined cash handling functions, including processing money-movement transactions, such as check, wire, EFT, and journal disbursements. Utilized BOS+ and FBSI programs to process and balance check and security deposits with keen attention to detail.Selected Contributions: • Transferred securities between accounts, paying close attention to the strict regulations and deadlines while controlling all transactions.

Boston, Ma And Omaha, Ne

Functioned with Pioneer Financial Distributors, Marketing Production, and various vendors to meet compliance timeframes and coordinate semi-annual and annual fund reports and prospectus mailings to shareholders. Oversaw daily, monthly and quarterly QC output using Excel and SQL database files, for accuracy and appropriate volumes before releasing to clients. Delivered prompt resolution to problems with accuracy, efficiency, and proficiency of product features and compliance with industry… Show more Functioned with Pioneer Financial Distributors, Marketing Production, and various vendors to meet compliance timeframes and coordinate semi-annual and annual fund reports and prospectus mailings to shareholders. Oversaw daily, monthly and quarterly QC output using Excel and SQL database files, for accuracy and appropriate volumes before releasing to clients. Delivered prompt resolution to problems with accuracy, efficiency, and proficiency of product features and compliance with industry standards. Selected Contributions: • Identified, evaluated and processed a diverse range of financial and maintenance requests using AWD, TA2000, and TRAC Smartdesk programs in compliance with industry rules and regulations. • Maintained a high level of professionalism and integrity while working with diverse clients and building long-term relationships at all levels within Pioneer Investments, customers and third party vendors. Show less

Business Administration And Management, General

Bachelor Of Arts (B.A.), History

Education record

Education record

Master Of Arts - Ma, Military History