Stephanie C. Anthony

• Conduct 115 + annual compliance examinations for registered representatives and OSJs throughout the US to measure compliance adherence
• Document test results and communicated findings to senior management, facilitating informed decision-making
• Resolve exam findings within established deadlines, ensuring compliance and operational integrity
• Collaborate with cross-functional teams to streamline operational processes, enhancing workflow efficiency

• Led Illinois state and real estate audits, coordinating client meetings and maintaining PBC list to ensure thorough review process.
• Conducted risk assessments and performed substantive and control testing for various projects to identify potential compliance issues.
• Ensured compliance of state programs by managing project plans and collaborating with audit teams to meet regulatory standards.

• Promoted to senior auditor in February 2022, assuming expanded responsibilities
• Planned and completed work papers, including engagement and management representation letters, to support audit objectives
• Coordinated tasks for staff auditors, training and reviewing work papers to enhance audit quality
• Facilitated internal and external communications to ensure timely completion of audit tasks and foster stakeholder collaboration

• Conducted audits of employee retirement benefit plans for major corporations, universities, and hospitals to ensure adherence to regulatory standards
• Performed substantive testing on eligibility, contributions, benefit payments, payroll, and cash liabilities to validate accuracy and compliance
• Executed control testing to assess compliance and operational effectiveness, identifying areas for improvement
• Facilitated communication both internally and externally to ensure timely audit completion

• Conducted audits of employee retirement benefit plans for major corporations and private companies, ensuring compliance and accuracy of financial reporting.
• Conducted substantive testing over eligibility, contributions, benefit payments, payroll, and valuation, cash, liabilities, expenses, inventory, etc.
• Executed control testing procedures to evaluate compliance with established protocols, identifying areas for improvement in operational processes.
• Facilitated verbal and written communication internally and externally to ensure timely completion of audit tasks

• Guided retail brokerage clients with money movements and resolving account-related inquiries, improving client satisfaction
• Supported financial advisors in creating managed proposals and facilitating money movements, enhancing service efficiency
• Honored with the 5 Keys Service Award for consistent high-quality service in 2016, 2017, and 2018.
• Received 4 service awards in 2015, 5 in 2016, 9 in 2017, and 4 in 2018 for outstanding customer service

• Maintained and expanded a 30 plus million-dollar investment book by identifying appropriate solutions and enhancing the overall customer experience
• Analyzed and implemented financial solutions for individuals and small businesses, enhancing client satisfaction
• Provided mutual fund and annuity investment solutions
• Expanded territory from 3 to 6 branches, increasing market presence and client engagement
• Developed and managed licensed bankers across 6 bank branches, fostering team collaboration and growth
• Proactively resigned in 2015 to pursue a master's degree

• Analyzed, strategized, implemented and monitored financial solutions for individuals and small businesses
• Focused on retirement, non-retirement, insurance, and college planning solutions

Accomplishments:

• Generated 401k leads resulting in $1 million contract for 70 employees and $3 million lead leading to transfer from Vanguard and new payroll services; ranked top in peer group for Smart Move Campaign and nominated for Shining Star award in fourth quarter
• 2004: Ranked as #1 IR for the Fidelity Nation Campaign in November Shining Star award for the fourth quarter
• 2007: Recognized for a major 401k lead
• Exceeded 9 of 10 production goals, demonstrating consistent achievement

• Processed financial transactions and conducted service-related appointments, enhancing customer satisfaction at one of Chicago's largest branches
• Facilitated service transactions, including account openings, registration changes, and inherited accounts, ensuring compliance and customer needs were met
• Financial transactions included check deposits as well as international and domestic wires
• Promoted to Investment Representative; secured Series 7, 66, and Life Insurance designations; appointed Customer Experience Co-Coordinator to improve client engagement