Summary
Overview
Work History
Education
Skills
Accomplishments
Timeline
Generic

Andrew Book

Downingtown,PA

Summary

Fantastic critical thinker with great memory and efficiently organize vast amounts of data. Great at performing internal audits, conducting investigative reporting and transcribing information. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.

Overview

24
24
years of professional experience

Work History

Senior Compliance Analyst

Vanguard Group
08.2017 - 11.2023
  • Developed and maintained compliance database, tracking all compliance activities and documents.
  • Responded to employee inquiries regarding compliance regulations and procedures.
  • Maintained up-to-date knowledge of current and emerging compliance regulations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
  • Prepared and submitted regulatory filings in timely manner.
  • Documented research findings to support risk-based decision-making and resolution to escalated fraud incidents.
  • Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
  • Communicated with compliance manager to thwart potential money laundering or terrorist financing.
  • Monitored financial transactions and immediately reported suspicious activity to authorities.
  • Performed yearly reviews of bank policies and procedures to evaluate compliance with regulatory requirements and standards.
  • Produced effective procedures for performing [Type] investigations and deployed monitoring processes to keep teams consistent in all areas.

Trade Administrator

Vanguard Group
01.2015 - 08.2017
  • Screened and transferred incoming calls, took down messages, and transmitted information and documents to internal personnel.
  • Maintained personnel records and updated internal databases to support document management.
  • Collected, validated, and distributed information to employees.
  • Computerized office activities, maintained customer communications, and tracked records through delivery.
  • Troubleshot employee concerns and recommended corrective actions to resolve issues.
  • Generated reports to suggest corrective actions and process improvements.
  • Studied processes, implemented cost reductions and developed reporting procedures to maintain administrative workflow.
  • Leveraged bookkeeping software and automated processes to reduce errors.
  • Collected, arranged, and input information into database system.
  • Evaluated customer needs and feedback to drive product and service improvements.

Problem Resolution Associate

Vanguard Group
01.2012 - 01.2015
  • Worked varied hours to meet seasonal and business needs.
  • Greeted customers and offered assistance for increased customer satisfaction.
  • Prioritized tasks to meet tight deadlines, pitching in to assist others with project duties.
  • Managed customer relations through communication and helpful interactions.
  • Trained and mentored junior staff on customer service strategies and techniques.
  • Identified customer needs and wants to enhance customer experiences and boost sales.
  • Created solutions for customers to satisfy specific needs, quality and budget.
  • Developed and implemented strategies to increase customer satisfaction and engagement.
  • Analyzed customer data to identify trends and anticipate customer needs.
  • Developed strong rapport with customers and created positive impression of business.

Client Relationship Associate

Vanguard Group
01.2009 - 01.2012
  • Developed summaries to assess each client's participation level and determine targets for follow-up plans.
  • Delivered exceptional customer service to every customer by leveraging extensive knowledge of products and services and creating welcoming, positive experiences.
  • Used consultative sales techniques to understand customer needs and recommend relevant products and services.
  • Provided accurate information about promotions, customer programs, and products, helping drive high customer retention.
  • Logged call information and solutions provided into internal database.
  • Communicated with customers to assess and address individual needs, providing timely and quality support.
  • Investigated and resolved customer inquiries and complaints quickly.

Processing Associate

Vanguard Group
09.2007 - 01.2009
  • Identified and resolved process issues to drive optimal workflow and business growth.
  • Collaborated with team to define business requirements for organizational processes, achieve productivity standards, and adhere to accuracy standards.
  • Prioritized initiatives to increase success rates of strategic projects.
  • Implemented continuous improvement metrics to streamline workflows and reduce waste.
  • Conducted training and applied change management to achieve desired outcomes.
  • Adhered to established policies, procedures and compliance for satisfactory audit rating.
  • Developed standard operating procedures and document workflows to drive current and future processes.

C-130 Loadmaster

United States Air Force, USAF
01.2000 - 01.2005
  • Used both manual and electronic methods to compute aircraft weight and balance.
  • Interpreted cargo and passenger load briefings and reviewed all plans and documentation.
  • Performed pre-flight and post-flight of aircraft and aircraft systems.
  • Checked placement of cargo and passengers against aircraft restrictions.
  • Demonstrated use of emergency equipment and escape routes to passengers.
  • Documented cargo movements and maintained updated files with real-time information.
  • Optimized space usage when loading cargo and baggage into aircraft compartments.
  • Provided detailed training and safety protocol workshops to optimize performance and productivity of crew members.
  • Flew with crews and handled in-flight cargo needs.

Education

Bachelor of Arts - Finance

Millersville University of Pennsylvania
Millersville, PA

Skills

  • Internal Controls
  • Auditing Processes
  • Risk Management
  • Accreditation Standards
  • Document Review
  • Reporting Requirements
  • Trend Monitoring
  • Federal and State Regulations
  • Compliance Reviews
  • Investigations Skills
  • Data Analysis

Accomplishments

Series 6, 7, and 63 licensed

Veteran of Operations Noble Eagle, Enduring Freedom, and Iraqi Freedom

Timeline

Senior Compliance Analyst

Vanguard Group
08.2017 - 11.2023

Trade Administrator

Vanguard Group
01.2015 - 08.2017

Problem Resolution Associate

Vanguard Group
01.2012 - 01.2015

Client Relationship Associate

Vanguard Group
01.2009 - 01.2012

Processing Associate

Vanguard Group
09.2007 - 01.2009

C-130 Loadmaster

United States Air Force, USAF
01.2000 - 01.2005

Bachelor of Arts - Finance

Millersville University of Pennsylvania

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Andrew Book