Monica is a project management and business analyst professional who has been a part of the financial services industry for 15 years. As a seasoned member of the Wachovia Securities/First Clearing Corporation Correspondent Conversion Team, Monica’s primary responsibility included leading the full integration for new correspondent business. Working with all levels of associates across multiple divisions and correspondent firms, Monica has managed the entire scope of conversion projects including systems configuration and data analysis. Monica also has solid working knowledge of many operational areas across the brokerage business, and experience in identifying and implementing process and workflow improvements and efficiencies.

Expertise

  • Experience with the AML Compliance Department of 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 sales force relating to Restricted accounts and as an Analyst for the Patriot Act Certificate validation project
  • Experience with multiple clients of a national clearing firm in reviewing AML reports and processes and providing an enhanced training manual for their associates
  • Provides guidance around policies and procedures to clients preparing to comply with the Department of Labor Fiduciary Rule. This includes revisions to compliance and supervisory policies and procedures, best practice recommendations and process implementation
  • Leading 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, it’s clearing division and correspondent firms
  • Participate as designated Knowledge Transfer Specialist in the mergers of various broker-dealers, banks and independent firms as part of the Correspondent Clearing Group’s Conversion Team
  • Proficient in Microsoft Office, Word, Excel, Access, PowerPoint, Project and Outlook; Adobe Professional; Internet Explorer; and Beta/TTS Systems, Beta Backoffice, Smarsh
  • Experience with TD Ameritrade and Raymond James platforms

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