Katherine Vega
Fort Mill,SC
Summary
As a Senior Supervision Principal at Bank of America, I excelled in regulatory compliance, policy implementation, and risk management. Previously, as a Financial Solutions Advisor, I specialized in client-focused investment. My combined experience in supervision and client advisory uniquely qualifies me to contribute to a dynamic and growth-oriented team.
Overview
8
8
years of professional experience
Work History
Senior Supervision Principal
Bank of America Private Bank
02.2022 - Current
- Ensured bank adherence to current financial and banking regulations, laws, and guidelines.
- Responsible for detailed research, analysis, and assessment of Know Your Customer (KYC) records and Volcker rulings.
- Developed policies and procedures for bank operations to meet regulatory and compliance standards.
- As process owner, I currently oversee and document supervisory reports for Negative News Alerts, account closures, Economic Sanctions, and High-Risk Securities.
- Coordinated and participated in audit issues, and implemented new metrics.
- Provided guidance and coaching to bank staff for compliance and risk management policy adherence.
Financial Solutions Advisor
Merrill Lynch
12.2019 - 02.2022
- Applied tailored knowledge of investment and financial markets to meet individual client needs
- Documented KYC & assessed client suitability per FINRA guidelines for compliant account opening & tailored financial Services
Affluent Relationship Consultant
Wells Fargo Advisors
10.2018 - 12.2019
- Met daily outbound call expectations for outbound calls and referrals, while engaging in meaningful conversations with clients, managing pipeline reports & fostering lasting relationships
Inbound Retirement Distribution Consultant
Wells Fargo Advisors
08.2017 - 09.2018
- Offered distribution consultation to retired or separated participants in company-sponsored plans, presenting available distribution options
Education
Bachelors - finance
University of North Carolina Charlotte
01.2016
Skills
- Proficient in Microsoft Office Suite
- Detail-focused
- Strong analytical skills
- Time management
- Skilled in clarifying complex issues
- Decision-making
- Experience in conducting training programs
- Policy development
- Regulatory compliance
- KYC assessment
- Process documentation
- Performance metrics
- Effective communication
- Problem solving
Finra Licenses
- Series 7
- Series 66
- Series 24
- Series 9 & 10
Languages
Spanish
Native/ Bilingual
Timeline
Senior Supervision Principal
Bank of America Private Bank
02.2022 - Current
Financial Solutions Advisor
Merrill Lynch
12.2019 - 02.2022
Affluent Relationship Consultant
Wells Fargo Advisors
10.2018 - 12.2019
Inbound Retirement Distribution Consultant
Wells Fargo Advisors
08.2017 - 09.2018
Bachelors - finance
University of North Carolina Charlotte
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