PALOMA ENCINAS ULLAURI
Stamford,CT
Summary
Quality-driven Compliance Analyst familiar with tracking, documentation, and reporting requirements. Successful in fast-paced, demanding environments, along with strong organizational and technical skills. Areas of expertise include compliance regulation policies, private investment advisory, and client onboarding. Over 4 years of experience and motivated, energetic mindset.
Overview
7
7
years of professional experience
Work History
Tracking & Trading Compliance Analyst
Deloitte
06.2022 - Current
- Coordinate spreadsheet for Partners' compliance violations
- Assist with ad-hoc process of Tracking & Trading regulations and policies
- Monitor Financial Holdings for U.S Partners inside the company
- Resolve Partners' Compliance Independence inquiries and provide them efficient solutions
- Update Self Clear Questions for the Tracking & Trading Site
- Stayed current with latest changes to applicable regulatory standards and company procedures
- Conducted orientation sessions and organized on-the-job training for new hires
Tracking & Trading Compliance Associate
Deloitte
01.2019 - 05.2022
- Coordinate spreadsheet for Manager's compliance violations
- Assist with ad-hoc process of Tracking & Trading regulations and policies
- Monitor Financial Holdings for U.S Managers inside the company
- Resolve Managers' Compliance Independence inquiries and provide them efficient solutions
- Analyzed and presented weekly statistics to management
Securities Processing Specialist
Rockit Solutions
01.2019 - 05.2022
- Processed trades for: preferred stocks, mutual funds, options, futures, and fixed income
- Updated FI-TEK system to reflect accurate dividend information
- Reconciled market security activity between internal system and bank/custodian data
Onboarding Analyst, LATAM
Robert Half - J.P. Morgan Contractor
06.2018 - 08.2018
- Reviewed foreign legal documentation for regulatory support of client accounts
- Investigated source of wealth for corroboration of client's KYC documents
- Supported team with translations and assistance in preparing KYC tickets
- Communicated with banker team to accurately request legal documents from clients
Education
Master of Science - Project Management
Harrisburg University of Science And Technology
Harrisburg, PA06.2021
Bachelor of Arts - Economics, Government & Industry International Studies
Manhattanville College
Purchase, NY06.2018
Skills
- Microsoft Office 365
- Salesforce
- Morningstar
- R programming
- Jira
- Scrum Processes
Languages
Spanish
Native or Bilingual
English
Native or Bilingual
French
Elementary
Timeline
Tracking & Trading Compliance Analyst
Deloitte
06.2022 - Current
Tracking & Trading Compliance Associate
Deloitte
01.2019 - 05.2022
Securities Processing Specialist
Rockit Solutions
01.2019 - 05.2022
Onboarding Analyst, LATAM
Robert Half - J.P. Morgan Contractor
06.2018 - 08.2018
Master of Science - Project Management
Harrisburg University of Science And Technology
Bachelor of Arts - Economics, Government & Industry International Studies
Manhattanville College
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