The Bank of New York Mellon, New York, New York
Senior Securities Representative:
January 2006- Present
Principal review of client servicing materials, statistical reports ensuring reports were up to company standards.
File applicable items with FINRA; ensure proper record keeping of stated items.
Coordinate daily loan payoffs and produce demand letters and or defaulted loan letters .
Daily certificate processing and validation, Maintenance of confidential vault documentation.
Overseer of daily SBA and Bank payoff calculations.
Delegation of daily workloads to all payoff representatives within the payoff loan processing team.
Conduct internal and external customer service via email,in person and phone.
E*Trade Financial New York, New York
Customer Service/ Complaints Representative Compliance Team
September 2004 - January March 2006
Ensure suitability and that the investment objectives of the client were consistent with the products being sold.
Conducted examinations of customer complaints and regulatory inquiries.
Assisted in Reviews marketing, sales material, and lecture/seminar activities before utilization with the public.
Verification of trade prices via Bloomberg.
Monitored written and electronic communication between compliance representatives and the public.
Served as Backup receptionist coverage for Compliance Team.
Needham &Company Inc. New York, New York
Trade processing assistant
June 2004 - September 2004
Investigated and resolved DTC trade confirmations.
Daily date processing of new accounts via Bear Stearns Oasys system.
Daily account reconciliations, Coordinated with Compliance Manager to ensure the proper handling of customer inquiries from brokers, clearing, and branch offices.
Prepared relevant documentation for daily trades processed.
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