LISA DAVILA

• Maintained policy procedures for general operation of compliance program in the Office of Supervisory Jurisdiction to meet FINRA and SEC standards
• Planned and executed compliance audits (detached office inspections) to check company policies, procedures and controls
• Conducted annual interviews with financial advisors to foster ongoing compliance with federal regulations
• Performed multiple Supervisory Principal tasks
• Surveilled incoming and outgoing correspondence, email and social media
• Audited client files and CRIA account annual reviews for quality assurance
• Monitored the flow of funds (checks and securities) register
• Medallion signature guarantee signor and records manager
• Participated in training meetings to discuss current regulation trends and enforce new policies
• Tracked annual firm and regulatory CE.
• Participated in team projects, demonstrating an ability to work collaboratively and effectively.
• Hold Series 7, 63, 24, and 53 registrations and currently a Registered Investment Advisor and Registered Principal

• Advised clients on favorable investment opportunities based on suitability standards to meet established financial goals utilizing USAA Mutual Funds
• Referred Brokerage Services, Wealth Management and Financial Planning products to customers as well as other USAA products (Property & Casualty, Life Insurance, Banking services).

Skilled at working independently and collaboratively in a team environment

• Delivered supportive and knowledgeable counseling to students with academic or personal concerns primarily centering around the financial aid process, scheduling and transcripts

Processed bank customers deposits, withdrawals, credit card paymgents, money order requests, cash checking in a fast paced environment