Eboni Williams
Charlotte,NC
Summary
Accomplished Financial Management Professional with extensive expertise in wealth management and financial analysis. Demonstrated ability to enhance operational efficiency and exceed performance goals through exceptional client support and relationship-building skills. Proficient in team leadership, compliance management, and cross-functional collaboration, driving positive outcomes within the financial services sector. Committed to thriving in dynamic, fast-paced environments while maintaining strong partnerships across diverse demographics.
Overview
10
10
years of professional experience
1
1
Certificate
Work History
Agency Supervisory Officer
The Pelora Group
Charlotte, NC
01.2025 - Current
- Conduct regular audits of client records, ensuring accuracy and completeness of Regulation Best Interest.
- Enforce compliance with regulatory standards and company policies.
- Coordinate cross-departmental projects to meet company objectives.
- Utilize document management system to organize files, ensuring data accessibility.
- Maintain positive relationships with staff and management for effective collaboration.
- Advise staff and financial professionals on compliance best practices.
- Monitor compliance activities to identify potential risks or non-compliance issues.
- Investigate complaints regarding violations of applicable laws or regulations.
- Collaborate with management to develop corrective action plans in response to audit findings.
- Monitor customer complaints, resolving issues promptly and efficiently.
- Monitor compliance with company policies when publishing social media content.
Wealth Management Specialist/Principal Review Desk
First Horizon Advisors
Memphis, TN
10.2023 - 01.2025
- Coordinate daily with Wealth Management team on paperwork submissions, request statuses, and money movements
- Process cash and wire transfers, stock deposits, calculate margin calls, and reconcile brokerage accounts
- Review daily reports for discrepancies; resolve issues with NFS Clearing Firm
- Collaborated with compliance and legal teams to address regulatory updates, ensuring team awareness and alignment with current standards
- Cross-Trained Principal review desk, review AN4 Trade blotter and new account documents for approval for annuity contracts.
- Review accounts for REG BI delivery to clients
- Review annuity contracts to ensure compliance with state regulations.
- Ensure that all transactions relating to customers' annuities were properly documented.
- Reviewed legal documentation associated with proposed trades to ensure accuracy and completeness.
- Review new trade proposals to ensure compliance with relevant regulations and policies.
- Ensured compliance management with all firm policies and financial regulations, reducing risk and improving operational efficiency through regular audits and process monitoring
Relationship Banker - Team Lead
Regions Bank
Memphis, TN
01.2023 - 10.2023
- Achieved branch targets by identifying customer needs and providing tailored product solutions
- Trained junior bankers in product knowledge and performance skills, enhancing branch success
- Resolved escalated issues in the Branch Manager's absence and contributed to team coaching, scheduling and hiring
- Conducted thorough account analysis to address customer needs and concerns.
- Collaborated with internal teams to streamline service processes for clients.
- Resolved client inquiries promptly to ensure high levels of satisfaction and trust.
- Assisted customers in opening new checking and savings accounts, as well as other banking services such as wire transfers, direct deposits.
- Facilitated team meetings to discuss performance, goals, and strategies.
Senior Fee Based Associate/ Cash Distributions
Raymond James
Memphis, TN
08.2015 - 01.2023
- Executed duties in Cash Distributions, including processing money movements, wires, stock movement transactions utilizing systems such as Outside View, Stock Movement and Portfolio Performance Management
- Researched and provided prompt solutions to Financial Advisors, Branches, and Asset Management department ensuring effective support and issue resolutions
- Assisted the Investing management team with asset liquidation and reinvestment processes to optimize client portfolios
- Report meaningful analytic data in a timely manner to management using Citrix database
- Identified alternative solutions to business and operational discrepancies
- Performed data collection in accuracy in compliance with firm regulatory standards supporting data integrity and regulatory adherence
- Verified and reconciled transactions for Mutual Funds, Equities, and Bonds to ensure accuracy in financial records
Education
Bachelor of Business Administration - Accounting
Capella University
05.2021
Certification Completion - Accounting
Tennessee Technology Center
05.2000
Skills
- Detail Oriented
- Client Support Services
- Reconciliation Proficiency
- Compliance Audit Solutions
- Performance Management
- Regulatory Assessment
- Client Relationship Management
- Business Development
- Effective Team Leadership
- Cross-Functional Collaboration
- Microsoft Word
- Microsoft Excel
- Microsoft Teams
- Microsoft Outlook
- OutsideView (SIS)
- Client Center
- Portfolio Performance Management (PPM)
- Citrix Database
- Money Movement Dashboard
- Web EX
- WealthScape
- A360 Advisor Tool
- Integrated Central Platform
- Mainframe
Timeline
Agency Supervisory Officer
The Pelora Group
01.2025 - Current
Wealth Management Specialist/Principal Review Desk
First Horizon Advisors
10.2023 - 01.2025
Relationship Banker - Team Lead
Regions Bank
01.2023 - 10.2023
Senior Fee Based Associate/ Cash Distributions
Raymond James
08.2015 - 01.2023
Bachelor of Business Administration - Accounting
Capella University
Certification Completion - Accounting
Tennessee Technology Center
Certification
•Series 24- General Securities Principal Sept 2024
• Series 7 – General Securities Representative Examination May 2024
• Series 63 – Uniform Securities Agent Law Examination Jan 2024
• Series 99 – Operations Professional Examination Nov 2023
• SIE Certification – Securities Training Corporation Sept 2022
• Bachelor of Business Administration in Accounting – Capella University May 2021
• Certification Completion in Accounting – Tennessee Technology Center May 2000