ERRIS GRAY
Reisterstown,MD
Summary
Collaborative, strategic and solutions-oriented Regulatory professional with over 15 years of Financial Services industry experience. Versatile analyst, equipped with technical skills to efficiently manage and complete tasks, perform data analysis and meet projected goals
Overview
15
15
years of professional experience
3
3
Certification
Work History
Securities Registration Analyst
District Of Columbia Government
03.2020 - Current
- Examine applications for the registration and notice filing of securities offerings to determine whether full and accurate disclosure of eligibility information has been made by the applicant and whether grounds for denial of registration or notice filing of securities offering exist
- Ensure compliance with the Registrations and notice filing provisions of the District of Columbia securities laws, while maintaining records of the data obtained from other governmental agencies relative to the examination of agent issuer’s information provided in registration applications and notice filing
- Review and accept registration fees, process payments and communicate effectively with external clients/ issuers under the Securities Registration and Tracking System (Databases/Applications include STAR, Blue Express, NAASA Electronic File Depository, FTP and IBM FileNet)
- Manually import several transactions for automated processing, by transferring XML data files into multiple systems, and testing systems periodically for efficiency
- Provide statistical information for various reports under the Securities Registration and Tracking System.
- Composed correspondence to internal and external parties as requested.
- Retrieved and disseminated information from computer databases while gaining extensive knowledge in data entry, analysis and reporting.
- Demonstrated strong organizational and time management skills while managing multiple projects and peers
- Used strong analytical and problem-solving skills to develop effective solutions for challenging situations.
Compliance Data Analyst
T. Rowe Price, Risk Management
01.2018 - 01.2019
- Reviewed and monitored cash & non-cash transactions for financial advisors to adhere to compliance standards and Financial Industry Regulatory Authority, Inc(FINRA)Regulations
- Synthesized complex analytics-derived insights into easy-to-understand, actionable recommendations for business users.
- Created dashboards to monitor and track key performance indicators.
- Provided technical support for troubleshooting analytics and reporting issues.
- Utilized data visualization tools to effectively communicate business insights.
- Created various Excel documents to assist with pulling metrics data and presenting information to stakeholders for concise explanations of best placement for needed resources.
- Managed monthly sales expense reports and metrics and utilized various software (including Salesforce, Salesforce Lightning, ServiceNow, MS Excel and various compliance tools to perform efficient data analysis
- Audited records, reports and sales activities; presented audit findings to staff and senior level management to locate and recommend opportunities for process improvements
- Reconciled transactions by comparing and correcting data and performing data entries
- Analyzed results; monitored changes; identified trends; recommending actions to management
Fraud Operations Associate
Morgan Stanley
08.2017 - 01.2019
- Screened and investigated incoming and outgoing wire transfers for individuals and entities on the Office of Foreign Assets Control (OFAC) sanctions list to prevent money laundering and illegal activity and mitigate operational risk
- Communicated with internal stakeholders to provide status updates and elicit information in order to strategically prioritize payments to align with external client needs
- Ensured documentation and standard operating procedures were up to date and maintained a current understanding of money laundering and terrorist financing issues, including policies and procedures
- Analyzed financial data, created and delivered reporting on process effectiveness to leadership team, while establishing and maintaining effective working relationships with global teams
- Coached and trained staff on fraud prevention techniques to increase awareness and reduce risk.
- Collaborated with team members to discuss fraud trends and brainstorm methods to combat this type of crime.
- Reviewed reports and individual transactions which appeared suspicious to uncover possible fraudulent activity.
- Evaluated success of fraud detection systems to identify areas for improvement.
- Performed risk assessments to determine level of fraud risk and prioritize investigations.
- Collaborated with internal and external stakeholders to create and maintain fraud prevention strategies.
Analyst/ Sr. Operations Associate
Morgan Stanley
01.2011 - 08.2017
- Performed the initial and final review of documentation in order to process account specific transactions efficiently
- Formatively made account decisions based on departmental procedures and in compliance with State, IRS and FINRA regulations
- Maintained a high level of customer service for clients, client associates and advisors
- Analyzed and managed Tax reporting for IRAs and Retirement Plan clients (forms include 5498,1099R and 1042s),
- Periodically managed special projects and supported IT departments with systems testing to validate functionality and effectively increase productivity of the department
- Reviewed documents and data to give accurate presentations and forecasts to upper management.
Education
Bachelor of Science - Business Management
Morgan State University
Baltimore, MD05.2006
Skills
- Data Analysis
- Compliance Tools
- Regulatory compliance
- Highly Proficient in Microsoft Office Suite (Office 365, Word, Excel, Visio, PowerPoint, Outlook, Access Microsoft Teams)
- SharePoint
- Customer Service
- Pivot tables
- Familiarity with Lean Six Sigma
- Working knowledge of Business Analyst and Project Management concepts
- Closing Disclosures
- Microsoft Access
- Program Requirements
- Spreadsheet Tracking
- Digital File Transmission
- Registration Requirements
- Record Retrieval
- Registration Processes
- SQL
- Citrix
- Complex Problem-Solving
- Data Integrity Validation
- Business Management
- Attention to Detail
- Data Mining
- Data Collection Management
- Database Management
Certification
- Microsoft- Data Analysis Essential Skills (Microsoft-Edx)
- Data Visualization(Microsoft-Edx)
- Essential Math for Data Analysis(Microsoft-Edx)
Apps/Software
- STAR- MicroPact
- Blue Express File Manager
- NAASA EFD – Electronic Filing Depository
- Querying/ SQL
- Risk Case Manager
- 3D-Advisor Desktop
- JAWS
- EPS
- IBM Communicator
- Argent-Live
- SAFE
- PDF Creator
- Branch Workflow
- Case Management
- QuickBooks
- DocuSign
Timeline
Securities Registration Analyst
District Of Columbia Government
03.2020 - Current
Compliance Data Analyst
T. Rowe Price, Risk Management
01.2018 - 01.2019
Fraud Operations Associate
Morgan Stanley
08.2017 - 01.2019
Analyst/ Sr. Operations Associate
Morgan Stanley
01.2011 - 08.2017
Bachelor of Science - Business Management
Morgan State University
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