Peter Donnellon

- Assisting HNW clients with all servicing needs including Managed Accounts, Trading different types of securities (Stocks, ETF's ,Mutual funds, CD's, Treasuries, Options, Preferred Stock, Precious Metals, Alternative Investments) on behalf of clients.

-Maintain compliance with industry regulations while executing trades and transactions.

- Initiation, followup and completion of of cases involving more complex issues

- Act as a Mentor to my peers when it comes to different policies and procedures by leading training sessions.

- Taking on special projects and relaying back the information and processes on those projects across all levels of service.

-Deliver exceptional service to clients and peers by connecting and working together toward clients’ specific financial goals.

-Place equity and mutual fund trades for clients, perform account maintenance, and process deposits and withdrawals to and from personal investment and retirement accounts.

-Supports onboarding and new hire training and coaching through floorwalking and small-group roleplaying and acts as a mentor to new employees as well.

-Assist High Net Worth clients in all aspects of service and trading. Processing different types of money movement for clients.

-Initiated conversations with clients to uncover financial needs, and make referrals to business partners to meet goals.

- Partner with different lines of business within the bank to facilitate prompt resolution to complex issues on behalf of clients.

- Mitigate risk while following policies and procedures

-Built strong relationships with clients, fostering trust and loyalty in managing their financial portfolios.

-Educated clients on various financial matters and provided professional recommendations on investment opportunities, products, and services based on each clients' individual needs.

-Established new client relationships by conducting thorough needs assessments during initial consultations.

-Developed comprehensive financial plans for clients to achieve short-term and long-term goals.

• Maintained comprehensive knowledge of relevant industry regulations and standards, ensuring compliance throughout the QA process.
• Analyzed business partners interactions with clients for proper risk mitigation and utilizing proper policies and procedures
• Mentored several lines of business on new policies and procedures by conducting weekly meetings
• Trained incoming QA analysts and worked as a subject matter expert on current policies and procedures and risk management for all lines of business within the bank

• Assisted both clients and business partners in full resolution of financial crimes claims by conducting thorough due diligence on high-risk clients, mitigating potential exposure to illicit activities.
• Analyzed financial statements, bank records, and government databases to identify fraud and other instances of financial crimes
• Collaborated with cross-functional teams to develop comprehensive financial crime prevention strategies.