Experienced professional with a demonstrated history of working in the financial services industry within numerous roles that require a variety of skill sets. Experience includes client services, cross-sales, trading securities and options, compliance oversight, supervision of sales, accounting, financial reporting, and internal audit of broker-dealer and investment adviser operations.
Futu Clearing Inc.
View- Website:
- axosclearing.com
- Employees:
- 75
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Director, FinopFutu Clearing Inc.Texas, United States
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Regulatory ReportingAxos® Clearing, A Subsidiary Of Axos Financial Feb 2024 - Present -
Lead ConsultantForvis Jun 2022 - Feb 2024 -
Lead ConsultantDixon Hughes Goodman Llp Nov 2021 - May 2022 -
Sr. Regulatory Reporting SpecialistApex Clearing Corporation Jan 2018 - Nov 2021Primarily responsible for firm adherence to SEC rule 15c3-3 (Customer Protection Rule) and 15c3-1 (Net Capital Computation). -
Supervision & Surveillance PrincipalFirst Command Financial Services Apr 2017 - Jan 2018 -
Risk Assessment Analyst1St Global Sep 2013 - Mar 2017Dallas, TxMy role was to ensure the firm was in compliance with FINRA Rule 3120, the "Supervisory Control System" Rule and FINRA Rule 3130, the "Annual Certification of Compliance and Supervisory Processes" Rule.
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General Ledger AccountantUps Jan 2013 - Mar 2013Completed all accounting functions including account reconciliations and general ledger journal entries. -
Client Risk & Collections AnalystTd Ameritrade Jun 2011 - Aug 2012Assisted the firm with managing credit risk and collections by developing policies and procedures that would increase firm profitability while reducing financial risk. -
Private Client Service RepresentativeTd Ameritrade Feb 2010 - May 2011Managed relationships with affluent clients and expanded client relationships by identifying client needs and providing solutions to difficult financial situations through the utilization of internal business offerings.
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Client Service RepresentativeTd Ameritrade Feb 2007 - Jan 2010Assisted clients with understanding all matters related to securities trading rules, firm trading policies, and as necessary, margin requirements. Assisted the firm in the development of the first Latin American Services team.
Sonya M Education Details
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Accounting
Frequently Asked Questions about Sonya M
What company does Sonya M work for?
Sonya M works for Futu Clearing Inc.
What is Sonya M's role at the current company?
Sonya M's current role is Director, FINOP.
What schools did Sonya M attend?
Sonya M attended The University Of Texas At Arlington, The University Of Texas At Arlington.
Who are Sonya M's colleagues?
Sonya M's colleagues are Thomas Palmeri, J. Ethan Mccomb, Roy Di Maria, Ryan Hayes, Bo Gologan, Dagny Whall, Ford Kline.
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Sonya Roberts, M.Ed.
Innovative Hr Leadership | Strategic Employee Relations | Empowering Teams Through Lean ThinkingNashville Metropolitan Area
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