ROCIO MARTICORENA

Responsible for monitoring the sales practices of financial advisors to assess alignment with compliance policies, investment advisor act, and FINRA rules. Regularly collaborate with business leaders to resolve matters related to sale practice violations. Routinely educate branch associates on firm policies & FINRA regulations involving best interest, Investment Advisor Act, SEC, and local/state securities regulations.

Responsibilities include:

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations.
• Analyze sales practices to determine if compliance policies were violated
• Make decisions and resolve issues regarding compliance, supervision policies, disciplinary actions and practices.
• Promoted a culture of continuous improvement through ongoing evaluation and refinement of compliance program elements.
• Reduced the risk of financial penalties by conducting thorough internal audits on a regular basis.
• Collaborate with business leaders to remedy policy violations
• Regularly educate associates on compliance policies and regulations
• Maintain documentation of supervisory actions in official books & records.

• Proactively acquired new affluent consumer and small business customers, and deepen existing relationships.
• Advised customers on various aspects of recommended and available financial options and services.
• Identified client needs and goals for business, mortgage, retirement and investment services, partnering closely with colleagues in Business Banking, Mortgage and Financial Advisors.
• Maximized cross-selling opportunities by identifying client needs and offering relevant products or services accordingly.
• Collaborated with team members to meet branch sales goals and improve overall performance.
• Built lasting relationships with clients through proactive communication and regular followups.
• Enhanced client experience by promptly addressing concerns or inquiries related to account transactions or service issues.