GLORIA ANEIROS
Miami,FL
Summary
Seasoned financial professional with 20 years of experience, including 15 years as a registered sales assistant. Eager to transition into and grow professionally within the AML / Risk and Compliance sector of the financial industry. Demonstrated expertise in client due diligence, compliance, and regulatory adherence with a commitment to advancing within the AML and compliance field. Highly organized Client Service Representative possesses strong communication, problem-solving, and multitasking skills. Skilled in building strong relationships with clients and providing quality service.
Overview
15
15
years of professional experience
Work History
Senior Registered Client Service Associate
MORGAN STANLEY SMITH BARNEY LLC
2022.02 - Current
- Collaborate with two senior financial advisors focusing on the Argentina and Uruguay regions, while expanding into domestic business
- Manage the account opening process, ensuring compliance with AML procedures and maintaining up-to-date client information
- Execute trade orders using the firm’s 3DR platform for equities, bonds, mutual funds, and structured products
- Oversee money and asset movements including wires, journals, and ACAT transfers, ensuring accuracy and adherence to compliance guidelines.
- Maintained strict adherence to regulatory requirements within daily operations thus mitigating potential risks.
- Enhanced client satisfaction by addressing their inquiries and resolving issues promptly.
Registered Client Service Associate
UBS FINANCIAL SERVICES
2015.04 - 2022.02
- Worked with a team of three senior financial advisors on the International Wealth Management platform, focusing on Argentina and Uruguay
- Responsible for placing trades and ensuring accurate trade and commission placement from prior day’s activities
- Coordinated with the Uruguay office on account openings and collateral management, performing thorough due diligence
- Managed money and asset movements, including wires, journals, and ACAT transfers, ensuring compliance with AML procedures.
- Provided back-up support to other team members during peak periods or absences, ensuring seamless service delivery to clients.
- Delivered informative presentations to clients regarding financial products, increasing understanding and fostering strong relationships.
Registered Sales Associate
DOMINICK & DOMINICK, LLC/WUNDERLICH SECURITIES
2014.10 - 2015.04
- Supported two senior financial advisors on domestic and international platforms with stock, bond, and mutual fund trades
- Assisted with account openings, asset journaling, and maintenance tasks such as wire transfers and address verifications
- Ensured exceptional customer service in alignment with firm standards.
Senior Premier Relationship Officer
HSBC SECURITIES
2011.06 - 2014.10
- Collaborated with three senior financial advisors in the Latin American International Wealth division, managing brokerage accounts and ensuring AML compliance
- Verified client documentation and transactions, performed daily operations, and coordinated ACAT transfers
- Delivered outstanding customer service while maintaining accurate client records and verifying suitability and investment experience.
Registered Client Associate
RBC WEALTH MANAGEMENT
2009.06 - 2011.06
- Supported a Senior Vice-President/Broker in the International Wealth Management division, handling U.S and Latin American client accounts
- Executed securities transactions, verified accuracy, and maintained transaction records
- Utilized Bloomberg and Thomson One software for stock information and pricing verification.
Education
Bachelor of Arts -
International Fine Arts College
MiamiSkills
- Proficient in account opening and maintenance platforms, including 3DR.
- In-depth knowledge of AML and compliance procedures.
- Skilled in Microsoft Office and Adobe Acrobat.
- Strong problem-solving, analytical, and prioritization abilities.
- Fluent in English and Spanish, with a solid understanding of international wealth management.
References
References available upon request
Timeline
Senior Registered Client Service Associate
MORGAN STANLEY SMITH BARNEY LLC
2022.02 - Current
Registered Client Service Associate
UBS FINANCIAL SERVICES
2015.04 - 2022.02
Registered Sales Associate
DOMINICK & DOMINICK, LLC/WUNDERLICH SECURITIES
2014.10 - 2015.04
Senior Premier Relationship Officer
HSBC SECURITIES
2011.06 - 2014.10
Registered Client Associate
RBC WEALTH MANAGEMENT
2009.06 - 2011.06
Bachelor of Arts -
International Fine Arts College
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