Morgan Lucas
Rochester,NY
Summary
Dependable Senior Compliance Specialist with 5 years experience of maintaining a compliant work environment. Successful at managing multiple priorities with a positive attitude with the willingness to take on added responsibilities to meet team goals. Played a key role in the development of the compliance workspace within the company's new program, ensuring adherence to regulations and minimizing risks.
Overview
6
6
years of professional experience
Work History
Senior Compliance Specialist
Manning And Napier
01.2022 - Current
- Maintained client restrictions to ensure accounts were compliant to their wishes
- Identified gaps in existing compliance processes and recommended updates.
- Conducted periodic compliance audits and reviews to identify any accounts that may not be in compliance.
- Assisted with development of compliance objectives and strategies.
Account Manager
Manning And Napier
04.2018 - Current
- Managed financial portfolios and made strategic investment decisions to meet client objectives.
- Built research directives across over 6,000 client portfolios and oversaw model adjustments on a client-directed basis.
- Communicated effectively with multiple groups to effectively manage portfolios
Enterprise Risk Management Intern
The Bonadio Group
05.2017 - 08.2017
- Audit and review client information technology systems, including networks and applications; analyzed this information find security vulnerabilities and effects on financial reporting.
- Complete testing to verify functionality of IT general controls
- Prepare training materials for clients relating to cybersecurity awareness.
Education
Bachelor of Arts - Finance, Minor in Economics
St. Bonaventure University
Saint Bonaventure, NY12.2017
Skills
- Teamwork and Collaboration
- Multitasking Abilities
- Attention to Detail
- Organization and Time Management
- Analytical and Critical Thinking
- Active Listening
Timeline
Senior Compliance Specialist
Manning And Napier
01.2022 - Current
Account Manager
Manning And Napier
04.2018 - Current
Enterprise Risk Management Intern
The Bonadio Group
05.2017 - 08.2017
Bachelor of Arts - Finance, Minor in Economics
St. Bonaventure University
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