Sally Perez Email & Phone Number

Jacksonville, Fl, Us

Jacksonville, Florida, United States

Jacksonville, Florida Area

Monitored client accounts for trading violations with regard to NYSE rule 431, SEC and FINRA and regulationsInvolved complex calculation of account obligation requirements which require accuracy and attention to detailAdministered penalties to accounts not in compliance to prevent client and firm exposureAdvised the branch office management team on compliance adherence:Increased branch office compliance adherence rate by 65%Implemented procedural changes in processing compliance and exposure issuesServiced inbound calls from branch offices:Reduced inbound call volume by 45% through coaching of branch office staffSent wires to bust trades done in accounts that are on the restricted list:Trades were canceled within allowed timeframe 97% of the time. This significantly reduced both client and firm exposureProvided comprehensive updates to business unit's Procedure ManualExpert at resolving escalated issues from the International branch offices (Latin America, Europe and Asia Pacific):Succeeded in problem resolution 100% of the timeGenerated reports on International and Domestic exposure items for senior management

Monitored client accounts for margin and Regulation T callsContacted the branch offices for resolution of margin callsCalculated and issued margin interest for both dollar and foreign currency accountsWorked with domestic and foreign settlement agencies to reconcile DAC/RAP and Trades Done Away items:Items were settled on time 98% of the timeMonitored accounts for trading violationsExhibited strong follow up skills

Serviced inbound calls via network and assisted clients with questions regarding their 1099 statements and other general tax issues in a call center environmentWorked with computerized system for tracking, information gathering and troubleshootingExhibited strong time management skills while providing excellent customer service

Bachelor Of Arts, French, Spanish And Linguistics

Education record

Foreign Exchange Student - Spanish Philology