Mauricio Woodbridge

· Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure financial plans are balanced to desire allocations.

· Identify firm services and solutions for clients, such as identifying risk tolerance, enrollment in investment programs based on investment objectives, time horizon and current market conditions.

· Manage the onboarding of new clients, which includes the collection of required documentation and client information, process new accounts, ACATs, portfolio implementation as per financial advisor’s discretion, and loan booking.

· Review and monitor available cash on accounts to produce investments ideas.

· Prepare financial reports, spreadsheets, and other materials for clients’ portfolio reviews.

· Actively engages in available training and education programs to maintain current status on policies, procedure, and risk awareness.

· Execute orders on behalf of Financial Advisor and clients including stocks, bonds, mutual funds, options, FX, structure investments, RVPs and alternative investments.

· Manage administrative and investments duties that support Financial Advisors in daily business practices, including confirmations with client of an investment plan, execution of proposals, roll over of redeemed securities

· Proactively participates in firm initiatives directed by local management.

· Assist with processing of Trade Adjustments/Errors received by the branch and responding to operational alerts.

· Assist Business Service Officers with monthly Error-Stories reports by reviewing each trade error to make sure files were complete and accurate.

· Perform money movement functions and oversee BWF approvals for Fed-Funds, Cash and securities transactions, ACATS, ACH, Credit Adjustments, Checks and documents approval.

· Execute actionable items upon review of delegated reports and requests to meet service level expectations in a timely manner.

· Support the Service and Risk Management team in audit preparedness through ongoing monitoring of accounts and processes, ensuring compliance with firm policies and regulatory requirements.

· Remedy and/or escalate service breaks to management team.

· Identify Firm services and solutions that support client’s needs through Morgan Stanley Virtual Tools.

· Assist with special projects (e.g., recruit onboarding support).

· Maintain focus on evolving policy and platform changes, participating in training opportunities and conference calls as needed.

· Serve as a resource to Sales, Service, Risk and Home Office partners on behalf of Business Service Officers.

· Organize and track progress against operational remediation projects.

· Manage documents, including quality reviews for accuracy and completeness, scanning and electronic filling.

• Acted as a liaison between Management, Sales and Operating Departments, ensuring smooth communication and coordination.
• Collaborated closely with Financial Advisors and Support Staff to gather information, ensuring meticulous due diligence activities.
• Assisted in Firm remediation and audit-related projects, contributing to process improvement and compliance.
• Conducted comprehensive reviews for Standard, HRC, and SHRC accounts, maintaining adherence to review schedules across Geneva, Bahamas, and the USA.
• Assisted onboarding of new client accounts, meticulously collecting required documentation and client information.
• Analyzed transactions to identify and alert unusual patterns of customer activity, deviating from expected behavior.
• Certified customer identity and validated documentary evidence to ensure accurate classification of client business activities.
• Conducted thorough due diligence checks using tools such as World-Check, Google, and Company Search, including name screening and identity verification.
• Engaged in proactive training and educational programs to stay updated on policies, procedures, and risk awareness.

• Achieved a 10% revenue increase in the last 6 months by strategically expanding business relationships with existing and new ACAMS customers in the US, Europe, and Asia.
• Leveraged my industry expertise to identify and cultivate new business within the existing customer base.
• Effectively compared data and intelligence from various sources to pinpoint issues, gather pertinent information, and identify promising sales opportunities.

• Managed and nurtured existing client relationships, handling client requests, resolving inquiries, and ensuring accurate and updated client information and documentation.
• Proactively engaged in outreach efforts to strengthen relationships with clients, identifying and aligning Firm services and solutions with clients' specific needs.
• Successfully oversaw the onboarding process for new client accounts, including meticulous collection of required documentation and client data.
• Contributed to the team's marketing strategy by maintaining marketing materials and coordinating client events and seminars.
• Actively sought opportunities to leverage firm resources for collaboration among peers and collaborated with Financial Advisors to enhance client portfolios.
• Initiated contact with clients, reviewed responses, analyzed supporting documentation, and crafted comprehensive and current Compliance responses for inquiries arising from Exceptions and Alerts.
• Performed various administrative tasks supporting Financial Advisors, such as phone coverage, business travel arrangements, coordinating client meetings, and preparing travel and expense reports.
• Conducted thorough analysis of US Tax withholding and US Tax reporting for domestic and foreign clients, ensuring rigorous administration of FATCA analysis.