William Mindroiu Email & Phone Number

Bloomfield Hills, Mi, Us

Bloomfield Hills, Mi, Us

St. Petersburg, Florida, Us

➢ Recipient of the Operations Spotlight Award for the month of November 2023.➢ Lead Analyst and deep subject matter expert assigned to SEC Rule 613 Consolidated Audit Trail Report since August 2023.➢ Drove consistent decline in monthly error compliance rate from 0.4% in June 2023 to 0.0023% in May 2024.➢ Maintained an error compliance rate of under 0.05% monthly since August 2023.➢ Supervision and monitoring of approximately 2 million daily trade events.➢ Created and updated extensive training tutorials and procedures for production, validation, and submission of SEC Rule 613.➢ Assisted in creation of centralized reporting for SEC Rule 613 using Sharepoint and Smartsheet applications.➢ Collaboration with the Manager and Senior Analysts to design, plan, and execute testing strategies.➢ Lead the testing efforts of trade process flows.➢ Collaboration with various business units, including Brokerage Operations, Trading, Compliance, IT, and Legal.➢ Testing, reporting, and interpreting new or changing securities rules, regulations, policies, and laws.➢ Compile operational information for both internal and external auditors, such as FINRA and SEC, with limited oversight.➢ Lead planning and remediation efforts for high-level errors and rejections, providing temporary and permanent solutions.➢ Assistance with the onboarding and training of new analysts in SEC Rule 613 reporting.➢ Associate Advisory Group representative.

St. Petersburg, Florida, Us

➢ Resolved and recommended solutions to multifaceted issues regarding physical products, statement research, compliance, advertising review, supervision, etc➢ Skilled in independent research, internal communications, and handling of escalated matters.➢ Manipulated complex Excel spreadsheets like general account information, RMD calculations, unrealized/realized gain reporting, etc.➢ Assisted FAs and registered reps with navigating trading software placing simple equity trades to complex, multi-block order entries of options, limit orders, mutual funds, bonds, index trading,➢ Built data reports in Qlikview regarding top 100 performing branches and their satellites.

Mumbai, Maharashtra, In

➢ Specialized in servicing variable annuities.➢ Provided servicing of annuity accounts for multiple broker-dealers.➢ Acquired comprehensive familiarity with various living and death benefit riders. ➢ Developed proficiency in Vantage and Document Direct programs.➢ Exceeded productivity and compliance goals placed by TCS, over 95%.

New York, Ny, Us

➢ Met/exceeded sales and increased sales numbers consistently. Monthly goal was 1000 pvcs, averaged 3000 pvcs a month production-wise.➢ Referred hundreds of clients to get or refinance their mortgage, open self-managed or managed accounts, open personal accounts, equating to over $5 million total.➢ Opened complex business accounts that totaled $10 million.➢ Assisted in PPP loan relief for over one hundred businesses, that handed out over $1million in relief.➢ Top 1% by sales numbers at branch for months of June, July, and August 2020.