ALISHA BLACK
Mason
Summary
Financial services operations professional with experience in brokerage, insurance, and mortgage servicing environments. Skilled in compliance support, document review, account maintenance, and high-volume processing. Proven ability to reduce operational risk, resolve discrepancies, and maintain accuracy in regulated environments.
Overview
10
10
years of professional experience
Work History
Broker Dealer Associate
Ameritas Investment
Mason, OH
12.2024 - Current
- Oversaw brokerage account maintenance updates and service requests for enhanced operational efficiency.
- Coordinated account transfer documentation changes and updates, ensuring timely processing.
- Managed compliance with FINRA/SEC regulations while maintaining audit preparedness.
- Evaluated documentation for accuracy and thoroughness to support regulatory standards.
- Resolved discrepancies to minimize operational and financial exposure.
- Maintained comprehensive records for internal and external audit requirements.
- Collaborated with compliance and operations teams to address escalations effectively.
- Directed high-volume workflows while safeguarding accuracy and confidentiality.
Business Services Representative
Ameritas
Cincinnati, OH
05.2023 - 12.2024
- Managed life insurance policy processing with a focus on maintaining regulatory compliance.
- Conducted thorough reviews of documentation to maintain high quality and compliance.
- Facilitated issuance and payment processing workflows, ensuring seamless operations.
- Engaged with cross-functional teams to identify and resolve discrepancies, driving improvements in efficiency.
Shipping Associate
Open Mortgage
Austin, TX
06.2019 - 09.2022
- Achieved compliance in loan file reviews and post-closing documentation by implementing thorough checks.
- Delivered loan packages on time to a diverse group of 20+ investors, maintaining accuracy and reliability.
- Resolved documentation issues swiftly, reducing potential delays and enhancing overall operational efficiency.
Process Administrator
Huntington National Bank
Covington, KY
01.2016 - 08.2019
- Processed and maintained accurate documentation for loan applications and customer requests.
- Assisted in updating and implementing operational procedures to enhance efficiency.
- Collaborated with team members to resolve customer inquiries effectively and timely.
- Monitored system performance and reported discrepancies to ensure data integrity.
Education
Associate of Science - Business Finance
University of Cincinnati
Cincinnati, OHSkills
- Achieved streamlined brokerage operations, enhancing transaction efficiency
- Delivered compliance solutions for FINRA and SEC regulations, minimizing risk exposure
- Optimized insurance policy processing, resulting in improved client satisfaction
- Successfully completed mortgage post-closing tasks, ensuring accuracy and timeliness
- Conducted thorough loan file audits, enhancing compliance and quality assurance
- Established effective document control processes, resulting in organized record management
- Mitigated risks through proactive assessment and management strategies
- Maintained high data integrity levels, ensuring reliable financial reporting
- Executed reconciliation processes, significantly reducing discrepancies
- Managed high-volume workflows, resulting in improved operational efficiency
- Leveraged Excel to perform data analysis, enhancing decision-making capabilities
- Safeguarded confidential records, ensuring compliance with data protection regulations
- Utilized Microsoft Excel to streamline data management processes
- Enhanced financial systems performance, driving operational improvements
- Improved customer relationship management through effective CRM platform utilization
- Streamlined data entry systems, enhancing information accuracy
- Implemented document management tools, significantly improving workflow efficiency
- Tracked workflows effectively, leading to optimized team performance
TARGET ROLES (REMOTE $70K+ PATH)
- Brokerage Operations Analyst
- Securities Operations Specialist
- Compliance Analyst (FINRA/SEC)
- Financial Operations Analyst
- Insurance Operations Analyst
- Loan Servicing Analyst
- Post-Closing Specialist
CAREER POSITIONING
This resume is optimized for ATS systems used in financial services. It emphasizes compliance, risk control, and operational accuracy aligned with mid-to-senior remote financial operations roles.
Timeline
Broker Dealer Associate
Ameritas Investment
12.2024 - Current
Business Services Representative
Ameritas
05.2023 - 12.2024
Shipping Associate
Open Mortgage
06.2019 - 09.2022
Process Administrator
Huntington National Bank
01.2016 - 08.2019
Associate of Science - Business Finance
University of Cincinnati