Monica has over 15 years of experience in the Financial Industry with an emphasis on Project Management, Data Analysis, Compliance Support and Email Surveillance. She was a seasoned member of the Wachovia Securities/First Clearing Corporation Correspondent Conversion Team where her primary responsibilities were leading the integration for new correspondent business while working with all levels of associates across multiple divisions. Monica has solid working knowledge of many operational areas across the brokerage business including AML, Enhanced Due Diligence, Email Review, Trade and Advertising Review, and broker-dealer Compliance Support.

Expertise

  • Experience with the AML Compliance Department of a national broker-dealer in multiple capacities including auditing various processes and documents, performing year-end processing and approvals of Non-Governmental Organization paperwork, fielding questions from the salesforce relating to Restricted accounts, and as an Analyst for the Patriot Act Certificate validation project
  • Performed branch exams, confirming compliance with policies, procedures and regulations, maintaining data documentation of the review for audit control purposes
  • Led the strategic and tactical integration for multiple correspondent clearing clients, managing the entire project scope from the systems configuration and data analysis to working with all levels of associates within a national brokerage firm, its clearing division and its correspondent firms
  • Knowledge Transfer Process Trainer in the mergers of various broker-dealers, banks and independent firms as part of the Correspondent Clearing Group’s Conversion Team
  • Proficient in the Email Surveillance platforms of Smarsh, CA Dataminder and Global Relay
  • Wide knowledge base of Beta/TTS Systems, Beta Backoffice
  • Experience with TD Ameritrade and Raymond James platforms
  • Executing and processing client mailings

Career Highlights

  • Associate Vice President, Correspondent Conversion Team Project Manager, First Clearing Corporation/Wachovia Securities
  • Margin Specialist, First Clearing Corporation/Wachovia Securities

Education, Accolades and Industry Commitments

  • B.S, Dance Education, Radford University
  • FINRA Series 7 registration (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)
  • Six Sigma Greenbelt Training, Villanova University
  • Project Management Professional Classes, Wachovia Securities