Antwun Stennis
Memphis,TN
Summary
Accomplished Senior Compliance E-Communication Associate at Raymond James Financial, Inc., adept in SQL reporting and demonstrating exceptional attention to detail. Spearheaded training programs and enhanced compliance processes, significantly improving regulatory adherence. Renowned for strong written communication and effective time management, consistently delivering results beyond expectations.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Senior Compliance E-Communication Associate
Raymond James Financial, Inc.
08.2023 - Current
- Monitor and investigate electronic branch correspondence using various reports and systems.
- Review and monitor compliance with laws, regulations, and policies to ensure regulatory adherence.
- Communicate findings and manage concerns professionally, both in writing and orally.
- Managed approximately 600-700 emails daily to ensure financial advisors and branch personnel were adhering to FINRA/SEC regulations.
Team Lead Tax Reporting Specialist
Raymond James Financial, Inc.
07.2018 - 08.2023
- Extract reporting data using SQL for tax season, ensuring accuracy and compliance
- Create and analyze Excel Pivot tables and VLOOKUP for detailed reporting
- Develop and conduct training sessions, supporting less experienced associates
- Participate in departmental projects, gathering requirements and conducting functional analysis
- Coached reps to enhance performance; identified training needs with management
- Monitored quality performance; created reports to measure system effectiveness
Quality Assurance Specialist
Sedgwick Claims Management Services Inc.
04.2016 - 07.2018
- Evaluated calls to ensure service center reps met standards; provided feedback to improve
results. - Coached reps to enhance performance; identified training needs with management.
- Collaborated with management to identify training needs, boosting service center
performance and achieving compliance with policies.
Consumer Relations Claims Advocate
Advanced Services Inc.
06.2013 - 04.2016
- Handled claims for complaints, safety hazards, and repairs for General Electric Appliances, ensuring swift resolution
- Directed calls to appropriate departments based on issue nature, improving response efficiency
- Received and managed inbound calls from customers, builders, and stores, maintaining high service standards
- Evaluated customer experiences and implemented process improvements, enhancing overall satisfaction.
Education
BBA - Finance
Arkansas State University
Jonesboro, AR12.2025
Skills
- Strong written communication
- Time Management
- Attention to Detail
- SQL reporting
- Advanced Microsoft Excel
Certification
Securities Industry Essential, FINRA, 05/01/24
Timeline
Senior Compliance E-Communication Associate
Raymond James Financial, Inc.
08.2023 - Current
Team Lead Tax Reporting Specialist
Raymond James Financial, Inc.
07.2018 - 08.2023
Quality Assurance Specialist
Sedgwick Claims Management Services Inc.
04.2016 - 07.2018
Consumer Relations Claims Advocate
Advanced Services Inc.
06.2013 - 04.2016
Securities Industry Essential, FINRA, 05/01/24
BBA - Finance
Arkansas State University
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