Sean Gannaway Email & Phone Number

Raleigh, North Carolina, United States

Raleigh, North Carolina, United States

• Generated comprehensive control reports that gave strategic insights and recommendations to senior leadership on key risk areas and potential resolutions.
• Assessed whether the firm had adequate controls to comply with required regulations and suggested modifications to operations, systems, and strategy to meet them.
• Identified and flagged potential high risk clients after conducting risk assessments and ensured compliance requirements were met for high risk clients.
• Conceptualized, developed, and implemented plans to mitigate compliance risks, as well as addressed key risk metrics with upper management.
• Created training material and educated employees on compliance policies and procedures, with the goal of working toward complete regulatory and policy adherence.

Raleigh, North Carolina, United States

• Oversaw a team of eight while liaising between stakeholders and functioning as the primary contact point for any issues.
• Reviewed client trade confirmations for accuracy and compliance with regulatory requirements.
• Delivered exceptional customer service while managing key client relationships, with the goal of retaining customer base and maximizing client satisfaction.
• Maintained compliance records and ensured that they were up-to-date and accurate.

Winston Salem, NC

Winston-Salem, NC

Provide a web presence and social media/viral marketing campaigns for clients.

J.D, Law

Activities and Societies: Journal of Business and Intellectual Property Law Phi Alpha Delta

Ba, Political Science And Peace, War, And Defense