Mariana Soares Silva
Greenwich
Summary
Hardworking Internal audit, compliance knowledgeable professional with track record of quality and consistency. Well-organized and analytical with strong attention to details. Focused, responsible, proactive, and fast learning individual. Experience handling multiple projects to timely completion and ensuring quality results in all work. Looking for a challenging role in a fast-paced environment.
Overview
18
18
years of professional experience
Work History
Compliance Assistant
JP Morgan
New York
03.2014 - 05.2019
- Successfully maintained branch office records in accordance with Private Bank procedures and industry regulations.
- Identify and escalated gaps in existing processes or record keeping practices, resulting on Satisfactory Annual Branch Examinations Reviews.
- Coordinated License Registration activities, including transfer of securities licenses, order study material, coordinated instruction and testing dates, and escalated registration issues when required, insuring compliance.
- Implemented the excellence in the New Employee Onboarding process, providing an impeccable first day impression.
- Coordinated new hire registration and system access, and terminate system access for external transfers.
- Act as back up for administrative assistant, including opening, logging, tracking and copying incoming/outgoing mail following Series 24 review procedures.
- Performed consistently with all quality objectives, including planning, control and optimization strategies.
- Reviewed customer issues, company processes and all other operational areas to check compliance.
- Created and managed training classes to educate new hires and existing employees about compliance concerns.
- Evaluated physical and digital records to determine potential risk and check compliance with guidelines.
- Successfully controlled the gifts (registered representative) for/from employees, ensuring compliance with regulations. Developed an innovative and efficient control system later implemented as a model for the process.
Audit Assistant
Banco do Brasil
White Plains
01.2011 - 01.2014
- Performed detailed testing and reported finds to Senior Audit AML audits for the Bank of Brasil and Money Transmitter units Extensive testing of CTRs, and SARs Testing Monitoring, Investigations, and Reporting functions OFAC and KYC testing Logistics audit of administrative expenses of the bank for support documentation and proper approvals.
- Tested internal controls for AML/BSA and OFAC.
- Manage dthe Audit Administrative function that included: Audit Expenses, Travel Expenses Reports, Preparing the end of month budget versus actual expenses reconciling with the accounting area, Tracking Pending Projects and Audit Tasks Time Management -All time is completed, Registering and Controlling the Audit Training, Audit Recommendations Follow ups, Organize and prepare Audit paper and electronic files Management projects.
Communications Assistant
BAHIAGAS - Salvador
Bahia, Brazil
09.2001 - 03.2005
- Assisted in all areas of the corporate communications department.
- Reviewed and approved or rejected sponsorship proposals for project funding submitted from various sources.
- Participated in detailed planning for business meetings, social functions, and other events.
- Collaborated with an advertising agency to develop copy and place company advertising in various media.
- Reviewed diverse publications and clipped any articles or data referencing Bahiagas.
- Prepared informational brochures and packages for the company's efforts to promote usage of natural gas.
- Developed and wrote copy for educationally-oriented literature pertinent to company business.
Education
MBA - Business Administration
Monroe College
New Rochelle, NY2013
Bachelor of Communications - Publicity & Advertising
Catholic University of Salvador
2004
Nassau Community College, Essex County Community College
Skills
- Native Brazilian, permanent US resident (green card holder)
- Record keeping
- Administrative
- Documentation
- Marketing
- Marketing / Communications
- Microsoft Office Suite
- Office Management
- Natural gas
- Concur
- Fast learner
- Investigative skills
- Time management skills
- Positive learning process
- Excellent communication
- Client-focused
- Results-oriented
Languages
Fluent in English and Portuguese
Timeline
Compliance Assistant
JP Morgan
03.2014 - 05.2019
Audit Assistant
Banco do Brasil
01.2011 - 01.2014
Communications Assistant
BAHIAGAS - Salvador
09.2001 - 03.2005
MBA - Business Administration
Monroe College
Bachelor of Communications - Publicity & Advertising
Catholic University of Salvador
Nassau Community College, Essex County Community College