Ensures 15 employees are current with bank and other federal compliance courses and requirements.Compiles, prepares, organizes, maintains and tracks all monthly, quarterly and annual compliance reporting for territory in accordance with regulatory requirements.Assists in preparation for internal audits.Manages the on-boarding\off-boarding of new employees with technology and systems, licensing and registration transfers\new approvals, and training coordination.Maintains and updates weekly revenue projections to report to 3 high-level executives.Provides and develops various sales reporting and tracking requests for 6 executives and 5 departments.Works on Books of Business lists, account and branch assignments: Cross-referencing Salesforce and NetX360 database.Calendar management for Regional Investment Manager Coordinates travel arrangements for 15 employees, including flights, hotels, car rentals via ConcurManages expense reconciliation for travel, mileage and corporate credit card expenses for Regional Investment Sales Manager via Concur system, and reviews and approves all expense reports for 15 employees.Handles all office supply, technology, compliance, and marketing materials orders via Ariba systemServe as key figure in teams supportive network.

Managed the on-boarding of managed money accounts, including OFAC and Red Flag Compliance screening, coordination with CCO and Firm Principle for account approval and quality control for all required documentation. Support all registered representatives by providing guidance on administrative processes, obtaining certification and completing maintenance requests. Provides notice, tracking, review and reporting of annual compliance requirements to Investment representatives and executive management Key Accomplishments:Promoted 2 times within 4 yearsContributed in workflow process for record keeping for newly established managed money platform

-Direct and supervise existing checks with six months old due, to be Escheated to the state for all offices countrywide and effectively produce and mail more than 1,000 letters per month informing payees of un-cashed checks-Systematize Excel spreadsheets to monitor more than 8,000 outstanding issues and assist claim handler in resolving issues and concerns of responses to avoid escheatment-Assessed and evaluated more than 200 payments to clients and vendors per day-Arranged, planned, and logged all SRS check refunds and subrogation paymentsKey Accomplishment:-Successfully resolved status of more than $1.7 million in outstanding funds within two months

-Proactively involved in the migration of all State of Israel books of business, resolved multiple Bondmaster, Certmaster, and Citrix databases and all Billing accounts to cash accounts-Balanced detailed out of proof loans for Bondmaster databases-Played key role in high volume check reconciliation for special projectsKey Accomplishments:-Accomplished Certmaster special projects resulting in a recovery of $3 million in outstanding funds due to institution-Decreased exceptions and recovered over $1 million dollars in less than four months for three State of Israel accounts-Achieved two Above and Beyond awards for contributing with the Billing Reconciliation Migration and successful migration of State of Israel books of business; obtained two Honorable Mentions

Researched check copies, payments, and chargebacks in the physical archive department and on microfeche Accurately processed financial adjustments to DDA for controlled disbursements and reconcilement accounts for high-level corporate customers