C. NICOLE MCRAVION
Mount Holly,NC
Summary
Organized Analyst with strong knowledge Compliance, Risk Management, Registration and Testing acquired across 25 years of industry experience. Also, proactive and eager to bring strong knowledge of performance metric evaluation and reporting to a new role. Highly skilled in training team members to properly execute data collection and analysis to maintain integrity and efficiency.
Overview
16
16
years of professional experience
Work History
Senior Plan Reporting Analyst
Principal Financial Services
Charlotte, NC
01.2022 - Current
- Support retirement plan customers by preparing complex government filings and ensure plans meet government standards
- Ensure reports are prepared accurately and efficiently with minimal assistance
- Continuously assessed current reporting techniques and developed improvements to boost accuracy to 100%.
- Enhanced data integrity by applying meticulous attention to detail when reviewing and analyzing data maintenance processes.
- Researched accounts to reconcile inaccuracies and correct business processes across at least 650 accounts.
- Worked with business unit managers to provide quick resolution for submittal to client.
- Prepared documentation for business analysts and updated client data.
Senior Registrations Analyst
LPL Financial
Fort Mill, South Carolina
01.2020 - 12.2021
- Audit information on Form U4/U5 for accuracy with FINRA
- Review employee background reports (financial, criminal, customer complaints) for red flags that may impact employment status
- Generate and monitor Non-Licensed Associate reports; review for termination, reinstatements, ongoing review of Criminal / financial activities
- Participate in NLA Questionnaire audits, update/review procedures, track inconstancies and work to implement new guidelines
- Contribute effectiveness of teams through collaboration, mentoring, and development
- Assist with generating training material for Offshoring associates to acquire new task and incorporate procedural changes
- Utilize systems: Documentum, Dynamics, Client-works, and Oracle
- Identified and resolved problems through root cause analysis and research.
- Validated results and performed quality assurance to assess accuracy of data.
Senior Service Consultant, Dedicated Advisor Team
LPL Financial
Fort Mill, South Carolina
09.2017 - 01.2020
- Provide exceptional service to a dedicated group of Financial Advisors and LPL Financial internal business of at least 125 advisors, daily
- Work in accordance with compliance, regulatory, risk management requirements to maintain integrity of company’s standards
- Prioritize work to meet market deadlines, achieve personal goals, and work under pressure in an ever-changing environment
- Maintain knowledge regarding various products and systems supported; Microsoft Office, Client-works, Siebel, BETA, Tableau
- Collaborate with internal business partners to enhance, test, resolve escalations, and adapt to process changes
- Support operational partners with processing tasks and quality control (QC) processes to ensure operational tasks are completed accurately
- Report market risk and financial crimes through proper channels
- Delivered outstanding service to clients to maintain and extend relationship for future business opportunities.
- Liaised with customers, management and sales team to better understand customer needs and recommend appropriate solutions.
Senior Account Transfer Analyst
LPL Financial
Charlotte, NC
07.2015 - 09.2017
- Maintain attention to detail and accuracy verbiage on documentation
- Communicate with Contra firms regarding transfer guidelines and requirements
- Assist with facilitating conversions and monitoring accuracy of at least 125 account transfers, daily
- Update and maintain Omnibus report to minimize risk
- Signature Guarantee outgoing account transfer request
- Demonstrate creativity, diplomacy and exercise judgment handling challenging situations
- SME (Subject Matter Expert) for Account Transfer team
- Point of contact for escalated transfer request to provide resolutions and monitor for completion of each request
- Identified and resolved problems through root cause analysis and research.
- Validated results and performed quality assurance to assess accuracy of data.
- Performed system analysis, documentation, testing, implementation and user support for platform transitions.
Senior Cash Management Analyst
LPL Financial
Charlotte, NC
04.2012 - 07.2015
- Monitor client accounts for market risk
- Balance and monitor daily Reconciliation report for five or more companies as assigned
- Assist with high value accounts ($150K to $1 Million)
- Create and adjust daily Suspense report of 200+ entries
- Reach out to Financial Advisors regarding deposit(s) rejections
- Attend weekly meetings with various levels of management/offshore associates to discuss Suspense report
- Lead team in absence of Manager
- Retirement Accounts Supervisor Retirements
- Developed, recommended and implemented goals, policies and procedures to enhance operations.
- Analyzed data and interpreted trends and results of studies to make conclusions and develop reports.
Retirement Accounts Supervisor
LPL Financial
Charlotte, NC
01.2007 - 04.2012
- Provide ongoing feedback to management and associates
- Point of contact for multiple Account Conversions (ex
- LPL acquisition of AXA Advisors)
- Collaborate with Onboarding team to acquire new associates
- Discuss career development and ongoing coaching
- Review and approve request less than $1 million
- Lead/assist with various projects
- Facilitate department and team meetings
- Research over 30 issues daily and provide resolution to management
- Contact outside vendors to update and research inquiries
- Prioritize incoming request to ensure entries are completed within LPL Service Level Agreement
- Process loan payment, contributions, distributions, and reconcile daily report
- Addressed problems with accounting, billing and service delivery to maintain and enhance client satisfaction.
- Built and strengthened long-lasting client relationships based on accurate price quotes and customer-centric terms.
- Oversaw new business development and customer servicing.
- Liaised between account holders and various departments.
- Secured high-value accounts through consultative selling, effective customer solutions and promoting compelling business opportunities.
Education
MBA -
Gardner Web University
Boiling Springs, NC07.2023
Bachelor of Arts - Education
Belmont Abbey College
Belmont, NC07.2017
Skills
- Provide written and verbal communication skills with individuals at all levels along with strong problem solving, decision making, organizational and time management skills
- Analytical and Critical Thinking
- Self-Motivated
- Problem Solver
- Self-starter who can work independently within a collaborative team environment
- Project Management
- Advanced PC skills including word processing, spreadsheets and collaborative workspace; BETA, Microsoft Word, Excel, SharePoint, OneNote, and Salesforce
Additional Information
- PROFESSIONAL LICENSES & DESIGNATIONS , FINRA Series 6 and 63, active license since year 2000
Timeline
Senior Plan Reporting Analyst
Principal Financial Services
01.2022 - Current
Senior Registrations Analyst
LPL Financial
01.2020 - 12.2021
Senior Service Consultant, Dedicated Advisor Team
LPL Financial
09.2017 - 01.2020
Senior Account Transfer Analyst
LPL Financial
07.2015 - 09.2017
Senior Cash Management Analyst
LPL Financial
04.2012 - 07.2015
Retirement Accounts Supervisor
LPL Financial
01.2007 - 04.2012
MBA -
Gardner Web University
Bachelor of Arts - Education
Belmont Abbey College
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