Amy C. Austin
Chesapeake,VA
Summary
Detail-oriented professional with 15+ years of proven success in developing policies, creating training programs and collaborating with staff and senior management to achieve compliance. Methodical with exceptional risk assessment and resolution implementation. Proficient in accounts payable and receivable, budget administration and payroll.
Overview
20
20
years of professional experience
Work History
Practice Manager
Lincoln Financial Advisors
11.2023 - Current
- Evaluate practice workflows regularly to identify areas for improvement and implement necessary changes efficiently.
- Assist in preparation of monthly commission statements.
- Support clients' needs by providing timely responses to inquiries regarding account status or transactions processed.
- Supported executives by conducting research, reporting and documentation.
- Coordinate with various internal departments to ensure seamless execution of financial transactions on behalf of clients.
Chief Compliance Officer
Financial Security Group
02.2009 - 06.2023
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Collaborated with legal, accounting and other professional teams to review and maintain compliance with regulations.
- Coordinated with IT to ensure cybersecurity was consistently tested and updated as needed.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Prepared and executed training programs to improve compliance at all levels.
- Composed and presented reports outlining findings and recommendations from compliance audits.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws
Assistant Controller
Financial Security Group
09.2018 - 12.2020
- Reviewed and filed financial documents, coded accounting entries for data processing, and posted daily receipts and payments in accordance with all corporate protocols.
- Calculated salesperson commissions based on established parameters and disbursed bi-monthly payments.
- Managed payroll data entry and processing for 25 employees to comply with predetermined company guidelines.
- Handled all Office Manager duties.
- Used QuickBooks and Business Works to prepare external audit documentation and financial reports to assist management in operational planning and key decision making.
- Developed and maintained successful relationships with vendors, suppliers and contractors.
Operations Manager
Financial Security Group
02.2007 - 02.2009
- Promoted to Chief Compliance Officer in February 2009.
- Identified and resolved unauthorized, unsafe or ineffective practices.
- Collaborated with Compliance Officer to refine procedures, devise best practices and correct audit findings.
- Worked with programmers to fine-tune client database to produce more accurate reports of account standings.
- Reviewed all investment paperwork for trade accuracy and compliance.
- Obtained Series 62, Series 26 and Series 24 licenses,
Financial Services Assistant
Financial Security Group
02.2004 - 02.2007
- Executed record filing system to improve document organization and management.
- Scheduled office meetings and client appointments for Financial Planner.
- Obtained Series 6 and Series 63 licensing.
- Generated reports and typed letters in Word and prepared PowerPoint presentations.
- implemented digital client management system and input all data.
Education
Some College (No Degree) - Speech Pathology And Audiology
Old Dominion University
Norfolk, VAFINRA Securities Licensing
Skills
- Cybersecurity Frameworks
- Risk Management Strategies
- Procedures Compliance
- Data Security
- Conflict Resolution
- Corrective Action Planning
- Internal Audits
- Personnel Management
- Accounts Payable and Accounts Receivable
- Payroll Processing
- Bill Payment and Recordkeeping
Timeline
Practice Manager
Lincoln Financial Advisors
11.2023 - Current
Assistant Controller
Financial Security Group
09.2018 - 12.2020
Chief Compliance Officer
Financial Security Group
02.2009 - 06.2023
Operations Manager
Financial Security Group
02.2007 - 02.2009
Financial Services Assistant
Financial Security Group
02.2004 - 02.2007
Some College (No Degree) - Speech Pathology And Audiology
Old Dominion University
FINRA Securities Licensing