Pre- Compliance reviewIdentified and resolved not in good order annuity applications and forms.Coordinated resolution with internal and external parties including clients, branch representatives, FILI compliance, sales and operations representatives through verbal and/or written correspondence.Identified trends in root causes of errors and worked with management and associates to implement process improvements.2006 - 2007 Compliance AnalystPrimary responsibility to review… Show more Pre- Compliance reviewIdentified and resolved not in good order annuity applications and forms.Coordinated resolution with internal and external parties including clients, branch representatives, FILI compliance, sales and operations representatives through verbal and/or written correspondence.Identified trends in root causes of errors and worked with management and associates to implement process improvements.2006 - 2007 Compliance AnalystPrimary responsibility to review new account applications for Fidelity and non-Fidelity annuity products to ensure compliance with internal and external regulationsWork with all sales channels to support and educate sales representatives, relationship managers, and branch managers of compliance regulationsStay abreast of relevant changes, internal to Fidelity and industry, to ensure suitability and mitigate risk2002 - 2006 Senior Risk AssociateIncreased asset recoveries from 69% in 2002 to 97.4% in 2005Instituted firm-wide policy and procedures for bank wire procedures which reduced losses to FidelityAssisted Corporate Security and external law enforcement agencies regarding fraudulent activity which resulted in law enforcement action and arrestsWorked with Fidelity partners to resolve risk related monetary issues resulting in changes to policy and procedureDeveloped proficiency with Experian and Equifax products Show less

Back office position working with other brokerage firms to correct and make whole mutual fund redemption errors

Responsible for the correction of Fidelity retail mutual fund account redemption errors. Responsibilities included collaborative work with Fidelity business partners and contra - broker's back office partners

Worked in all facets of customer service, trading, asset retention, asset building and High Net Worth initiatives