Robert Dunn
Westhampton
Summary
Diligent and driven supervision analyst with proven track record of sound decision making and attention to detail. An effective communicator with strong analytical and problem solving skills that have produced accurate and timely service to branch partners and other constituents. A motivated self-starter who is seeking new challenges within centralized supervision.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Electronic Communication Supervision Analyst
Merrill Lynch/Bank Of America
09.2018 - Current
- Conducted daily reviews of flagged electronic communications sent and received by employees across various markets.
- Ensured e-communications complied with company policies and FINRA regulations.
- Cultivated partnerships with market OMTs to proactively mitigate risk and minimize exposure to the firm.
- Provided monthly updates and market reporting to leadership.
- Tested rule-based algorithms and natural language processing techniques to help reduce daily review volume.
Approval Officer, Loan Management Accounts Maintenance Team
Bank of America
02.2016 - 09.2018
- Served as an operations team member for a securities-based loan product catering to high net-worth clients, including businesses and trusts with loan amounts ranging from $100K to over $10 million
- Responsible for the final approval and execution of all client-driven loan updates and maintenance requests for existing retail, trust, and business loan facilities.
- Reviewed the entire approval process to ensure that all documentation was complete and compliant with applicable regulations and legal requirements.
- Collaborated with team members to resolve issues preventing the approval of a maintenance request.
- Exercised sound judgment in managing risk and positive client experience in complex situations.
- Maintained various internal audit and regulatory reports.
- Provided subject matter expertise and input to management.
- Identified and presented process efficiencies to management team.
Document Administrator, Loan Management Accounts Maintenance Team
Bank of America
11.2012 - 01.2016
- Reviewed maintenance requests for existing retail, trust, and business loan facilities and ensured documentation was complete and complied with applicable regulations
- Established relationships with branch partners to complete various complex loan changes for their clients
- Continuously recognized as a top team performer in accuracy and volume of accounts processed
- Responsible for various regulatory reporting
- Trained and mentored new team members
- Updated and revised team policies and procedures.
Document Administrator, Loan Management Accounts Team
Bank of America
10.2010 - 11.2012
- Provided exceptional branch service to Client Associates and Financial Advisors via the Merrill Lynch Service Network.
- Maintained Know Your Client database for new client relationships.
- Reviewed account opening documentation for new retail, trust, and business loans for accuracy and completion.
Education
Bachelor of Science - Economics, Business and Finance emphasis
University of Colorado Boulder
Boulder, CO12.2009
Skills
- Evidence-based decision making
- Issue identification
- Analytical Thinking
- Excel, Word, and PowerPoint proficiency
- Organizational skills
- Multitasking
- Friendly, positive attitude
- Flexible and adaptable
- Working knowledge of security products and services
Certification
- FINRA Series 7, 66, and 9/10 Licensed
Timeline
Electronic Communication Supervision Analyst
Merrill Lynch/Bank Of America
09.2018 - Current
Approval Officer, Loan Management Accounts Maintenance Team
Bank of America
02.2016 - 09.2018
Document Administrator, Loan Management Accounts Maintenance Team
Bank of America
11.2012 - 01.2016
Document Administrator, Loan Management Accounts Team
Bank of America
10.2010 - 11.2012
Bachelor of Science - Economics, Business and Finance emphasis
University of Colorado Boulder
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