PRESTON HARRIS
Kansas City,Mo
Summary
Organized and dependable candidate successful at managing multiple projects with a positive attitude. Willingness to take on added responsibilities to meet team goals. Motivated to continue to learn, grow, and excel in the Financial Industry. To seek and maintain full-time position that offers professional challenges utilizing interpersonal skills, excellent time management and problem-solving skills. Extremely hardworking and always looking for ways to improve and add new skills.
Overview
6
6
years of professional experience
Work History
Advisory Compliance Analyst
Cambridge Investment Research
Remote
09.2022 - Current
- Manage and own Erisa 3(38)& 3(21) deliverables process
- Manage and review 3(38) applications and other retirement services.
- Reviewed audit and monitoring reports related to consumer and client activities.
- Contributed to the development of a strong compliance culture within the organization by promoting awareness of relevant rules and guidelines through training sessions and communications campaigns.
- Conducted gap analyses on existing controls systems, recommending improvements where necessary for increased effectiveness in maintaining regulatory compliance.
Loan Servicing Specialist
TruHome Solutions
Lenexa, KS
05.2020 - 09.2022
- Audited files regularly to detect and correct paperwork and processing errors.
- Monitored loans to verify adequate and current Insurance coverage.
- Verified newly-loaded consumer, mortgage and commercial loans against established standards.
- Examined and verified information in loan application and closing documents.
- Organized, filed and maintained customer, department and regulatory loan records.
MET Team Associate
Home Depot
01.2020 - 06.2020
- Stayed current with latest changes to applicable regulatory standards and company procedures.
- Created retail displays to highlight particular products and drive sales according to corporate strategy.
- Organized engaging front-facing displays to capture customer interest and drive revenue growth.
- Placed prices and descriptive signage to enhance displays and promote items.
Education
BBA - Operations & Supply Chain Management
Kansas State University
Manhattan, KS05.2026
Associate of Arts - Finance
Pratt Community College
Pratt, KS05.2021
High School Diploma - undefined
Lawrence High School
Lawrence, KS05.2019
Skills
- NetX360, Charles Schwab, TDA, Wealthscape Software Systems
- FINRA/SEC regulation knowledge
- Microsoft Office applications
- Personal Reference Verification
- Personal Data Collection
- Insurance Forms
- Customer Service
- Problem Solving
- Time Management
- Mortgage Loan Processing
- Collection Processes
- Analytical and Critical Thinking
- Risk assessment
Timeline
Advisory Compliance Analyst
Cambridge Investment Research
09.2022 - Current
Loan Servicing Specialist
TruHome Solutions
05.2020 - 09.2022
MET Team Associate
Home Depot
01.2020 - 06.2020
BBA - Operations & Supply Chain Management
Kansas State University
Associate of Arts - Finance
Pratt Community College
High School Diploma - undefined
Lawrence High School