Letitia Garner

• Maintained strong working relationships with Investment Advisors to ensure compliance with regulatory requirements.
• Conducted suitability reviews of transactions involving Alternative Investments, Structured Products, and Annuities.
• Assisted in updating Product and Written Supervisory Procedures to reflect current standards.
• Collaborated across departments with Surveillance and Compliance to monitor business activities of Financial Professionals.

• Identified about 4,000 transactions needing resolution during internal audits.
• Gathered necessary documentation from Financial Professionals to support transaction evidence.
• Closed out majority of flagged items, ensuring compliance for year-end regulatory audit.

• Conducted thorough reviews of new accounts to meet KYC and Customer Due Diligence standards.
• Determined product suitability through analysis of client trading history and financial conditions.
• Monitored credit, debit, and disbursement activities across various branch representatives.
• Supported CCO in audit processes by retrieving archived records, resulting in no compliance issues.

• Guided clients in understanding market trends, portfolio evaluations, website navigation, and trade effects.
• Achieved cross-training across various firm departments to improve service delivery.

Reviewed accounts for OFAC or AML issues in Account Activation/Fraud Analyst role.

Informed clients about corporate actions, including tender offers and dividend reinvestment plans.

Educated clients on equity compensation and executive stock purchase plans.

Supported Trade Desk operations through trade blotter analysis and sales review.

• Facilitated over $500 million in sales referrals to RIA and Financial Consultant teams during tenure.