Over the last 2 years at Securities America, I've been able to further advance my knowledge of our current systems (Compliance Review Utility, Adtrax, EOffice, Outlook, Excel, Access, Robohelp, FBSI, Star Station, MIPS, and Relationship Management Utility). I've also learned how to manage my relationships with our representatives to ensure maximum review efficiency. In order to do this, I have had to master my communication skills (both written and oral) to effectively answer questions and perform high quality reviews. Additionally, I have found that it is important to be able to ask questions in order to learn the most from each situation. I am a very fast learner, catching onto new concepts rather quickly. After only 9 months with Securities America, I was offered a position in Compliance. After just 6 months as an Analyst 1 in Compliance Communications Review, I was promoted to Analyst 2. I truly enjoy challenges and thrive for opportunities to grow professionally. Just recently, I accepted a promotion to Analyst 2 in Sales Supervision.
Over the last 2 years at Securities America, I've earned the following licenses: Series 7, Series 24, Series 66, and Series 4. I've also completed the SA University Program. I have over 4 years of experience working in the financial services industry and over 6 years working in the business world. Over the last year in Compliance, I have become one of the most knowledgeable people working with Marketing Library and Social Media reviews, have taken over our CCR Access Database and regularly updated it, and started revamping the CCR Resource – more... Center to more accurately assist analysts’ needs. I also quickly became the Compliance Social Media Analyst. I reviewed all Social Media posts through Smarsh on a daily basis to ensure compliance with policy.
The hardest part of a job in Compliance and Supervision is being able to adapt to the ever-changing regulations and effectively implement risk management strategies.
My favorite part of my job is the opportunity for growth. – less