Summary
Overview
Work History
Education
Skills
Timeline
Generic

Kimberly Webb

Bellevue,NE

Summary

Seasoned examiner with a demonstrated history of conducting thorough assessments and evaluations. Proficient in analyzing data, identifying patterns, and drawing insightful conclusions. Skilled in applying standardized methodologies and protocols to ensure accuracy and reliability in examination processes. .

Overview

25
25
years of professional experience

Work History

Field Compliance Examiner

Equitable Advisors
New York City, New York
09.1999 - 06.2024
  • Completed the FINRA Series 7, 24, 63 and 65 examinations.
  • Created yearly audit schedule based on territory assigned by senior management to include both on-site and detached reviews of financial professionals, offices of supervisory jurisdiction (OSJ) and non-OSJ detached locations (prior to COVID-19 approximately 25 to 35 percent travel).
  • Provide senior management with an independent assessment of whether internal controls (utilizing internal Field Compliance Examiner Audit Guide and subsequent report templates) provide reasonable assurance that the objectives of the company, governing state laws, SEC, and FINRA rules and polices are followed. Including examination of KYC, DOL, Reg BI, text messaging, cyber security and personal information security.
  • Monitored regulatory change required by new and revised laws and regulations, communicating complex protocols and determining operational impacts.
  • Clearly document of examinations in a concise management reports and provide heightened awareness around significant risks and proactive identification, escalation, and remediation of control weaknesses or gaps.
  • Conducted internal audits of processes and procedures to assess compliance with relevant regulations including special surprise investigations of potential infractions.
  • Lead examiner of the Outside Registered Investment Advisor (ORIA) program which included preparation of internal processes, guides, questionnaires and forms. Also personally examined the ORIA's to insure compliance with Company and Regulatory rules and regulations.
  • Identified areas where existing policies need strengthening or updating to maintain ongoing compliance.
  • Collaborated with other departments to develop strategies for mitigating risk associated with non-compliance.
  • Develop and maintain strong, collaborative relationships with mid to senior level management, other internal clients and peers, and Audit.
  • Skilled at analyzing problems, identifying solutions, and making sound decisions.
  • The ability to work well in a team and communicate effectively across departments.
  • Ability to work in dynamic environments and flexibility in managing changing priorities.
  • Ability to articulate sensitive, complex or potentially contentious issues in a constructive manner and discuss appropriate solutions.

Operations Manager

Equitable Advisors
Omaha, NE
1997 - 1999
  • Coordinated with other departments including sales, marketing, finance, human resources. to ensure efficient operations.
  • Collaborated with management team on long-term strategic planning initiatives for the organization.
  • Managed staffing needs through recruitment, selection, onboarding and training, disciplinary action as necessary.
  • Monitored and improved efficiency of processes, team performance, and customer service.
  • Developed key performance indicators to measure effectiveness of operational processes.
  • Supervised day-to-day workflow of employees in order to maximize productivity and maintain quality standards.
  • Directed operations staff by providing guidance, training, and support in order to meet company objectives.
  • Ensured compliance with safety regulations and maintained a safe work environment for all personnel.
  • Recruited, hired and trained crew members on application of projects, customer relations, and customer service.
  • Improved morale and management communication by creating employee recognition and rewards practices.
  • Delegated work to staff, setting priorities and goals.

Assistant to the Branch Manager

Equitable Advisors
Omaha, NE
1994 - 1997
  • Created marketing materials such as brochures, flyers and posters to promote services offered at the branch.
  • Organized team-building events to foster positive working relationships among colleagues.
  • Provided administrative support for the Branch Manager as needed.
  • Performed data entry tasks accurately and efficiently while meeting deadlines.
  • Prepared detailed reports on sales figures, customer service metrics, expenses.
  • Set up workshops, conferences and meetings by scheduling and reserving rooms and preparing supplies.
  • Composed, edited and typed complex memos and reports with job-related software.
  • Coordinated catering services for various functions, including sales trainings and department meetings.

Medical Receptionist

First Eye Associates
Omaha, NE
1993 - 1994
  • Prepared charts for new patients, ensuring all necessary forms were completed correctly.
  • Assisted with filing of medical records and documents, maintaining accurate electronic files.
  • Maintained confidentiality of patient information according to HIPAA regulations.
  • Answered incoming calls, responding to inquiries from patients and other medical offices.
  • Greeted and checked in patients, updating patient information in computer system.

Medical Assistant

Eye Specialists of Nebraska
Hastings, NE
1991 - 1993
  • Adhered to HIPAA regulations regarding safeguarding confidential patient information at all times.
  • Organized patient charts before each day's clinic sessions began.
  • Maintained accurate medical records through filing, charting, transcription and data entry into electronic health record system.
  • Answered phones, scheduled appointments and managed patient flow while greeting visitors in a professional manner.
  • Filed insurance claims forms in accordance with applicable regulations.
  • Relayed messages from patients to physicians about concerns, condition updates or refill requests to facilitate treatment.
  • Oversaw patient registration, insurance verification, form completion and appointment scheduling to maintain operational efficiency.
  • Supported administrative staff by processing payments.

District Administrative Assistant

Equitable Advisors
Omaha, NE
1988 - 1991
  • Managed calendars for key personnel within the district organization.
  • Provided administrative support to district personnel by completing various tasks such as data entry, typing documents, and scheduling appointments.
  • Answered phones to direct callers, schedule appointments, and provide general office information.
  • Responded to customer issues to provide immediate resolution and improve retention.

Application Service Unit

Equitable Advisors
Omaha, NE
1987 - 1988
  • Collaborated with other departments to ensure smooth flow of services across different teams.
  • Handled administrative procedures to meet objectives set by boards of directors or senior management.
  • Monitored application processing procedures and ensured accuracy of applications.
  • Reviewed medical records to ensure accuracy in application processing.
  • Monitored progress of application processing from submission through closing stages.
  • Coordinated with agents and underwriters on new business application processing.
  • Managed a large volume of paperwork relating to application processing including filing, scanning and archiving documents.
  • Collaborated with other departments to ensure compliance with applicable laws and regulations related to application processing.
  • Reviewed documents for accuracy prior to submission for processing such as applications or contracts.
  • Reviewed applications for accuracy prior to submitting them for processing.
  • Performed clerical duties such as photocopying and faxing documents, organizing paperwork associated with processing applications.

Receptionist

Equitable Advisors
Omaha, NE
1986 - 1987
  • Assisted with special projects assigned by management when required.
  • Provided excellent customer service at all times while interacting with both internal and external customers.
  • Answered incoming calls, took messages, and transferred calls to appropriate departments or personnel.
  • Assisted in maintaining office supplies inventory by checking stock to determine inventory level; anticipating needed supplies; placing orders for supplies; verifying receipt of supplies.
  • Coordinated with vendors for repairs and maintenance of office equipment.
  • Provided administrative support to staff members including typing letters, filing documents, and scanning and copying documents when necessary.
  • Greeted and directed visitors to appropriate personnel and answered large number of calls and emails daily.
  • Managed inventory of office supplies and placed orders to ensure adequate stock levels.
  • Delivered administrative support to team members by making copies, sending faxes, organizing documents and rearranging schedules.
  • Maintained business office inventory and equipment by checking stock for needed supplies.

Education

Some College (No Degree) - Business

Metropolitan Community College
Omaha, NE

Skills

  • Presentation Skills
  • Supervision abilities
  • Confidentiality
  • Mitigation skills
  • Ethical judgment
  • Records evaluation
  • Document Review
  • Report Preparation
  • Legal Compliance
  • Deadline Management
  • Organizational Skills
  • Effective Communication
  • Examination administration
  • Adaptability and Flexibility
  • Professional Demeanor
  • Reliability
  • Self Motivation

Timeline

Field Compliance Examiner

Equitable Advisors
09.1999 - 06.2024

Operations Manager

Equitable Advisors
1997 - 1999

Assistant to the Branch Manager

Equitable Advisors
1994 - 1997

Medical Receptionist

First Eye Associates
1993 - 1994

Medical Assistant

Eye Specialists of Nebraska
1991 - 1993

District Administrative Assistant

Equitable Advisors
1988 - 1991

Application Service Unit

Equitable Advisors
1987 - 1988

Receptionist

Equitable Advisors
1986 - 1987

Some College (No Degree) - Business

Metropolitan Community College

Similar Profiles

CREATE PROFILE
Kimberly Webb