Sophia Lee
Chicago,Illinois
Summary
Financial Services Representative (New Account Specialist) handling brokerage, retirement, trust, and investment account onboarding with a focus on FINRA, SEC, and internal compliance. Processes 101+ account applications and maintenance requests weekly while resolving discrepancies and completing risk checks to keep approvals moving. Supports a fast-paced service environment by managing 101+ client inquiries daily across openings, transfers, and account maintenance.
Overview
7
7
years of professional experience
Work History
Financial Services Representative (New Account Specialist)
E*TRADE from Morgan Stanley
09.2023 - 03.2026
- Managed end-to-end onboarding for brokerage, retirement, trust, and investment accounts while ensuring compliance with FINRA, SEC, and internal regulatory requirements.
- Processed high-volume account applications, maintenance requests, and financial documentation with a strong focus on accuracy and regulatory compliance.
- Managed 100+ client inquiries daily on account openings, transfers, documentation requirements, and account maintenance to ensure timely service delivery.
- Reviewed financial documents and identified discrepancies to facilitate timely account approvals through thorough risk checks.
- Collaborated with operations, compliance, and internal business partners to resolve documentation issues, enhancing onboarding efficiency.
- Maintained accurate client and account records across multiple financial products while supporting a fast-paced service environment.
Graduate Teaching Assistant – Personal Finance
University of Illinois Chicago (UIC)
08.2023 - 12.2023
- Assisted students in understanding financial planning concepts through classroom instruction and office hours.
- Evaluated financial projects and assignments, ensuring quality and consistency in assessments.
- Evaluated financial projects, assignments, and examinations using consistent analytical standards.
- Facilitated understanding of financial planning concepts for students through classroom instruction and personalized support during office hours.
- Coordinated grading and administrative tasks to ensure timely feedback and compliance with academic deadlines.
Teaching Assistant – Finance
University of Illinois Chicago (UIC)
01.2023 - 05.2023
- Assisted faculty with undergraduate finance courses covering corporate finance, valuation, portfolio management, and quantitative analysis.
- Evaluated assignments involving financial modeling, investment analysis, and Excel-based problem solving.
- Facilitated classroom instruction by answering student questions and leading discussions to enhance understanding.
- Managed course records and grading data with high accuracy using university systems to support academic integrity.
- Coordinated grading schedules and course administration to ensure timely feedback and maintain course flow.
Staff Accountant
Mandarich Law Group, LLP
12.2021 - 01.2023
- Managed accounts payable operations and financial transactions, ensuring accuracy and compliance within enterprise accounting systems.
- Performed monthly bank and trust account reconciliations while investigating and resolving account discrepancies.
- Processed vendor payments and reviewed financial records, enabling effective expense management and accurate budget monitoring.
- Assisted with audit preparation by organizing financial documentation and maintaining supporting schedules, facilitating a smooth audit process.
- Assisted with audit preparation by organizing financial documentation and maintaining supporting schedules.
Supply Chain Finance Analyst
PepsiCo
01.2021 - 03.2021
- Facilitated financial planning, budgeting, forecasting, and trade promotion analysis using SAP to enhance strategic decision-making.
- Conducted quarterly variance analysis and financial reporting to inform business planning and operational decisions.
- Prepared financial analyses and sales performance reports for cross-functional business teams.
- Oversaw capital expenditure budgets and vendor-related financial activities, ensuring compliance and accuracy.
- Supported month-end close activities and process improvement initiatives to enhance reporting efficiency.
Fiduciary Trust Tax Accountant
EY
03.2019 - 01.2020
- Executed financial reconciliations and reviewed account information to ensure accuracy for fiduciary and trust tax engagements.
- Performed financial reconciliations and reviewed account information for fiduciary and trust tax engagements.
- Prepared financial statements, supporting schedules, and tax-related documentation.
- Coordinated with trust officers and internal teams to gather financial information, facilitating timely reporting.
- Managed multiple client engagements while maintaining compliance with regulatory and tax requirements.
- Conducted regular audits and assessments to uphold compliance with regulatory standards and internal policies.
Education
Master of Science - Finance
University of Illinois Chicago
Chicago, IL05-2024
Bachelor of Science - Accounting
University of Illinois Chicago
Chicago, IL05-2018
Skills
Financial Analysis
Financial Reporting
Budgeting
Forecasting
Financial Modeling
Variance Analysis
Account Reconciliation
Risk Assessment
Regulatory Compliance
Microsoft Excel (Pivot Tables, VLOOKUP/XLOOKUP)
SAP
Bloomberg Terminal
Python
R
Stata
Microsoft Office
Portfolio analysis
Valuation modeling
Timeline
Financial Services Representative (New Account Specialist)
E*TRADE from Morgan Stanley
09.2023 - 03.2026
Graduate Teaching Assistant – Personal Finance
University of Illinois Chicago (UIC)
08.2023 - 12.2023
Teaching Assistant – Finance
University of Illinois Chicago (UIC)
01.2023 - 05.2023
Staff Accountant
Mandarich Law Group, LLP
12.2021 - 01.2023
Supply Chain Finance Analyst
PepsiCo
01.2021 - 03.2021
Fiduciary Trust Tax Accountant
EY
03.2019 - 01.2020
Master of Science - Finance
University of Illinois Chicago
Bachelor of Science - Accounting
University of Illinois Chicago