Tracey Matthews

Tracey Matthews Email and Phone Number

Supervision & Controls, Compliance, Audit, and Risk @ The Bates Group
united states
Tracey Matthews's Location
Longview, Texas, United States, United States
Tracey Matthews's Contact Details

Tracey Matthews personal email

n/a
About Tracey Matthews

Specialties: Wealth Management and Investments

Tracey Matthews's Current Company Details
The Bates Group

The Bates Group

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Supervision & Controls, Compliance, Audit, and Risk
united states
Website:
thebatesgroup.net
Employees:
12
Tracey Matthews Work Experience Details
  • The Bates Group
    Affiliate Expert Consultant
    The Bates Group Jul 2022 - Present
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  • Merrill Lynch
    Business Support Manager
    Merrill Lynch Jan 2014 - Jul 2022
    Dallas/Fort Worth Area
    Currently a co-leader of the Emerging Risk Review team. The teams goal is to proactively identify emerging risks and recommend appropriate solutions to help mitigate those risks.I also work on the Risk and Regulatory Oversight team. I lead initiatives that strengthen controls within our organization while making sure those controls are manageable and efficient for the Office Management teams and Financial Advisors.
    View
  • Merrill Lynch
    Administrative Manager
    Merrill Lynch Jul 1997 - Dec 2013
    Dallas/Fort Worth Area
    Led and supported Financial Advisors to ensure they remained compliant with the compliance policies of the firm.
    View
  • Merrill Lynch
    Suitabillity Intiative Manager (Temp Assignment)
    Merrill Lynch May 2013 - Nov 2013
    London, United Kingdom
    Was selected for a temporary assignment to lead a team of Administrative Managers and Risk and Compliance associates for a suitability project in our Merrill Lynch London office. Spent more than half the year working with Merrill Lynch European leaders to solve a suitability directive they were give from the Financial Conduct Authority. The project included 50+ people for more than 6 months to bring the matter to closure.
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Tracey Matthews Skills

Team Building Employee Engagement Investments Business Analysis Vendor Management Team Management Team Leadership Process Improvement Strategic Planning Organizational Development Strategic Financial Planning Operations Management Risk Management Employee Relations Change Management Financial Analysis Budgets Coaching Performance Management

Tracey Matthews Education Details

Frequently Asked Questions about Tracey Matthews

What company does Tracey Matthews work for?

Tracey Matthews works for The Bates Group

What is Tracey Matthews's role at the current company?

Tracey Matthews's current role is Supervision & Controls, Compliance, Audit, and Risk.

What is Tracey Matthews's email address?

Tracey Matthews's email address is tracey.matthews@ml.com

What schools did Tracey Matthews attend?

Tracey Matthews attended Oklahoma Baptist University, Dallas Baptist University.

What skills is Tracey Matthews known for?

Tracey Matthews has skills like Team Building, Employee Engagement, Investments, Business Analysis, Vendor Management, Team Management, Team Leadership, Process Improvement, Strategic Planning, Organizational Development, Strategic Financial Planning, Operations Management.

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