Donna Jackson
Medina
Summary
Dynamic compliance specialist with a proven track record at Sequoia Financial Group, adept at developing policies and procedures that enhance regulatory adherence. Skilled in vendor management and exceptional communication, I drive compliance training initiatives and ensure audit readiness, contributing to firm growth and operational excellence.
Overview
13
13
years of professional experience
Work History
SENIOR ASSOCIATE, COMPLIANCE SPECIALIST
Sequoia Financial Group
Akron
01.2024 - Current
- Responsible for building and documenting firm procedures for incident reporting and policy violations.
- Ongoing monitoring of all trade activities and money movement to ensure regulatory compliance and adherence to internal controls.
- Developed the firm's direct payment process and established the Department of Labor (DOL) compliance process.
- Currently developing the firm's annual compliance training program and vendor due diligence efforts to support regulatory requirements and firm growth.
- Working at a rapidly growing RIA firm
Senior Associate, Client Services
Sequoia Financial Group
Akron
01.2020 - 01.2024
- Partnered with financial advisors to open new accounts, transfer assets, and process time-sensitive money movements and trade-related activities.
- Served as primary point of contact for custodians, resolving accounts, operational, and service-related inquiries.
- Assisted with training and onboarding of new client services employee.
- Supported compliance-related activities, contributing to a transition into a dedicated compliance role.
Client Strategist Associate
Key Private Bank
Westlake
01.2017 - 01.2020
- Provided operational support for client meetings, including materials preparation, scheduling, documentation, and follow-up.
- Coordinated client onboarding and account opening across deposit, lending, and investment platforms, including data entry and documentation support.
- Maintained CRM and workflow systems (Salesforce, Wealth Direction), ensuring data accuracy, proper task routing, and process adherence.
Client Service Associate
UBS Financial
Hudson
01.2015 - 01.2017
- Collaborate closely with financial advisors and team associates to support day-to-day operations.
- Provide exceptional customer service to clients via phone, email, and in person.
- Assist with client communications, scheduling, and follow-ups.
- Maintain organized records and assist with general administrative tasks.
Investment Service Associate
LPL Financial/ Ohio Savings Bank
Cleveland
01.2013 - 01.2015
- Supported financial advisors as an Investment Associate by selling annuities and life insurance products.
- Managed advisor schedules and coordinated client meetings.
- Opened and maintained client investment accounts, ensuring accurate documentation and processing.
- Assisted with and participated in client presentations and meetings.
Education
Associate of Applied Science - Business Administration
Cuyahoga Community College
Cleveland, Ohio, OHSkills
- Regulatory Compliance
- Audit & Exam Readiness
- Policy & Procedure Development
- Trade & Account Oversight
- Vendor & Risk Management
- Exceptional communication
- Salesforce, MCO, Tamarac
- Microsoft Excel and word
Timeline
SENIOR ASSOCIATE, COMPLIANCE SPECIALIST
Sequoia Financial Group
01.2024 - Current
Senior Associate, Client Services
Sequoia Financial Group
01.2020 - 01.2024
Client Strategist Associate
Key Private Bank
01.2017 - 01.2020
Client Service Associate
UBS Financial
01.2015 - 01.2017
Investment Service Associate
LPL Financial/ Ohio Savings Bank
01.2013 - 01.2015
Associate of Applied Science - Business Administration
Cuyahoga Community College