Summary
Overview
Work History
Education
Skills
Timeline
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Anita Marie Ramos

Arizona City,AZ

Summary

A capable and knowledgeable Associate and Compliance Officer with over 27 years’ experience in Finance and Banking in a range of roles and environments. Hard working and diligent, a good-natured person with a positive outlook, ability to work flexible hours, and have always maintained the utmost in confidentiality and discretion.

Overview

17
17
years of professional experience

Work History

Private Wealth Management Special Assistant

U.S. Bank
05.2020 - Current
  • Main point of contact to Market Leader and Managing Director
  • Managed new employee onboarding
  • Support field needs where needed i.e., technology/onboarding/termination/project ownership/reporting and presentation efforts
  • Travel, expenses, meeting coordination, and heavy calendar management
  • Maintaining organization charts, staffing and contact information
  • Collecting and interpreting data to produce reports
  • Build and maintain relationships with various departments
  • Conducting special projects
  • General knowledge of US Bancorp policies and procedures

Chief Compliance Officer, Senior Client Associate

Navigation Group, LLC
01.2014 - 01.2020
  • Provide guidance to advisors on all ethics, business conduct and compliance matters
  • Establish, implement, and supervise compliance policies and procedures to ensure that the compliance program is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with regulatory requirements
  • Monitor client transactions and behavior, conduct proper due diligence, and maintain appropriate records
  • Conduct AML/KYC formality reports on questionable accounts and transactions
  • Review marketing materials and investor communications to ensure compliance with relevant laws and regulations
  • Prepare for and coordinate third-party examinations, including ensuring that information requests from third-party partners and regulators are completed timely and accurately
  • Conduct firm’s annual and monthly compliance testing and ensure that recommendations are implemented
  • Assure that all regulatory filings and disclosures are made in a timely and accurate manner
  • Document all client information, meeting and call notes in Salesforce CRM
  • Work closely with corporate office compliance department to reiterate and establish internal policies to facilitate regulatory requirements
  • Answer and direct phone call inquiries from clients, vendors, and other interested parties
  • Maintain and update all client information and client requests including processing transfers, distributions, new accounts, and monitoring successful completion of those requests.

Executive Assistant, Vice President

Federal Reserve Bank of San Francisco
01.2012 - 01.2013
  • Controlled and managed very dynamic calendars by prioritizing meetings, events, and travel
  • Managed complex domestic and global travel, including agendas, budget guidelines, and expense reporting
  • Collaborated and assisted other administrative team members in various departments on special projects and events
  • Prepared reports, presentations, and agendas for various meetings
  • Maintained strict confidentiality with highly sensitive information.

Executive Assistant, Compliance Officer

Sutter Securities, Inc
01.2005 - 01.2012
  • Assisted in updating compliance procedures, documented changes and reporting updates and annual training to staff
  • Assisted in oversight of fund portfolios and ensured the firm was compliant with various regulations which resulted in mitigating any regulatory risks and building client confidence in the firm and its products
  • Reviewed and approved any financial and non-financial disclosures to ensure compliance with federal securities regulations
  • Worked with small businesses including start-ups in everything from planning, loan and funding needs, general finance and accounting needs, and licensing and permits required.

Education

2nd year -

J.D. program - undefined

Purdue University Global, Concord Law School

Juris Masters - Financial Regulation & Compliance

Florida State University
Tallahassee, FL
08.2020

B.S - Business Administration

Florida State University

Skills

  • Skills and Expertise
  • Knowledge of industry protocols and best practices, as well as applicable rules and regulations governing US Investment Advisers, and US and International trading laws
  • Extensive knowledge in back-office operations and front office brokerage practices
  • Excel in fast-paced environment
  • Excellent ability to research any problem to point of solution
  • Ability to work with minimal to no supervision
  • Experienced in project management
  • Superior analytical and problem-solving skills with strong attention to detail
  • First-rate time management, multitasking abilities, and communication skills
  • Team player and able to undertake and meet tight deadlines
  • Adept at working with all levels of management
  • Advanced knowledge of
  • MS Office and Salesforce CRM
  • Strong presentation skills
  • Was formally Series 7 licensed and willing to retake exam, as well as any additional licenses required

Timeline

Private Wealth Management Special Assistant

U.S. Bank
05.2020 - Current

Chief Compliance Officer, Senior Client Associate

Navigation Group, LLC
01.2014 - 01.2020

Executive Assistant, Vice President

Federal Reserve Bank of San Francisco
01.2012 - 01.2013

Executive Assistant, Compliance Officer

Sutter Securities, Inc
01.2005 - 01.2012

2nd year -

J.D. program - undefined

Purdue University Global, Concord Law School

Juris Masters - Financial Regulation & Compliance

Florida State University

B.S - Business Administration

Florida State University

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Anita Marie Ramos