Leidys Lopez
Miami,FL
Summary
To obtain a professional position where I can apply my work experience, my qualifications and educational skills to the benefit of my employer and myself
Overview
17
17
years of professional experience
Work History
Operations & Client Service Associate
Insigneo
01.2022 - Current
- Responsibility of providing operations, onboarding, reporting and client assistance to Insigneo's Financial
Advisors. - Reviews account opening documentation making sure it complies with regulatory guidelines, helped with ACAT, maintenance when needed.
- Maintains, responds, and updates custodian requirements for account opening, and translates them in a clear manner to advisors.
- Assist with the onboarding on new FAs joining the Firm & helped alongside client associates to do the Input of all accounts.
- Knowledge of Pershing platform Netx, knowledge of account opening, ACATS procedures & Asset movements/maintenance
- Knowledge of FINRA rules
- Knowledge of the financial industry, products and services
- Knowledge of AML/Compliance regulations
Operations & Client Service Associate - Advisory
Insigneo
Miami, FL
12.2021 - Current
- Responsibility of providing operations, onboarding, reporting and client assistance to Insigneo's Financial Advisors.
- Reviews account opening documentation making sure it complies with regulatory guidelines.
- Maintains, responds, and updates custodian requirements for account opening and translates in a clear manner to advisors.
- Sets-up clients in internal systems platforms for reporting purposes.
- Reviews and updates advisory accounts: billing parameters, fee changes, terminations and other.
- Reviews systems data for reconciliation purposes.
- Creates, reviews, and distributes invoices for Advisory Fees.
- Serves as liaison between the custodians and clients/advisors.
- Downloads reports form custodians on a monthly/quarterly/yearly basis for purposes of data records keeping such as balances/holdings/billing.
- Performs other duties as assigned.
Operations Associate
Insigneo
03.2021 - Current
- Part of the SWAT team to assist new Financial Advisors in the onboarding of new accounts to the firm. Review account opening documentation making sure it complies with regulatory guidelines.
- Train, coach and guide Financial Advisors and Assistants during the onboarding process.
- Assisted with training of new employees, to the firm. Train in using the NetX360 Platform and guiding how to input information into the system and the documentation required.
- Maintain a tracker for the Teams and send daily updates on account status. Ensure W8/W9 are certified. Assist team with system related questions, explain firm's policies and procedures and help with account inquiries.
Operational Risk Specialist
Wells Fargo Advisors
11.2014 - 03.2021
- International Business Risk and Control (IBRC).
- Perform risk assessment of individuals/joint accounts, Personal Holding Companies, and Trusts.
- Responsible for ensuring that the department’s inbox is up to date, all the new accounts received by our department are entered in our system, and responded to all inquiries from the Financial Advisors and Clients Associates.
- Regularly update and maintain accounts I reviewed to make sure they are consistent and the information is kept intact.
- Support Financial Advisors & Client Associates with their onboarding process for new and existing accounts.
- Engage with local HUB/Complex/Region managers to ensure proper controls related to the international aspects of the business.
- Review EDD and ODD activities (both on-boarding and on-going), AML business controls and other Compliance related initiatives from the business perspective by interaction with Financial Advisors working with NRA clients; partner with members of the support units (AML, Compliance, Risk and Legal) and other business units to ensure proper alignment of control related activities.
- Assist with the training process for new hires throughout the years at IBRC.
Client Associate
Wells Fargo Advisors
07.2012 - 11.2014
- Provided administrative and operational client service support to assist the business activities of the Financial Advisor(s).
- Responsible for operational issues and compliance guidelines while ensuring work activities are processed according to established Regulatory, Risk and Compliance procedures such as.
- Responsible for performing certain on-going account reviews as required and necessary to complete the process.
Operation Specialist
Wells Fargo Advisors
04.2008 - 07.2012
- Performed wide range clerical operational task including, document preparation, account servicing/maintenance, batching and/or distributing work, filing, photocopying, faxing, preparing and distributing incoming and/or outgoing mail, address changes, stop payments, account closings, transfers and processing check orders.
- Supported responsibilities and functions while ensuring work activities are processed according to established Regulatory, Risk and Compliance procedures.
- Work with internal departments and/or directly in solving service/operational issues Coordinate workflow to ensure work activities are prioritized and scheduled according to Service Level Agreements.
Education
High School Diploma -
G. Holmes Braddock Senior High School
2005
Associate in Arts Degree - Business
Miami-Dade College
Skills
- Excellent verbal, written and analytical skills High attention to detail and accuracy Organizational skills, Work well under pressure independently as well as with others Knowledge and understanding of international brokerage operations
- Qualifications Computer and software skills: Microsoft Office, Excel, Word, and Power Point, Smart station, Beta Host, Thomson Reuters World Check Host, Factiva/OFAC
- NeXt360
References
REFERENCE Available upon request
Languages
Fluent in English and Spanish
Timeline
Operations & Client Service Associate
Insigneo
01.2022 - Current
Operations & Client Service Associate - Advisory
Insigneo
12.2021 - Current
Operations Associate
Insigneo
03.2021 - Current
Operational Risk Specialist
Wells Fargo Advisors
11.2014 - 03.2021
Client Associate
Wells Fargo Advisors
07.2012 - 11.2014
Operation Specialist
Wells Fargo Advisors
04.2008 - 07.2012
High School Diploma -
G. Holmes Braddock Senior High School
Associate in Arts Degree - Business
Miami-Dade College
Similar Profiles
Omary-Flaurent JuhudiOmary-Flaurent Juhudi
It Support Associate at InsigneoIt Support Associate at Insigneo
Rossina PicassoRossina Picasso
Financial Executive at InsigneoFinancial Executive at Insigneo
Daniel OcarizDaniel Ocariz
VP of Corporate Taxes at Insigneo Financial Group LLCVP of Corporate Taxes at Insigneo Financial Group LLC
Jason BaezJason Baez
Aviation Machinist's Mate at Silver Wings AerospaceAviation Machinist's Mate at Silver Wings Aerospace
Mariedys Lopez ArencibiaMariedys Lopez Arencibia
Notary Public at Zory Immigration SolutionsNotary Public at Zory Immigration Solutions