SUMMARY:

Dedicated professional offering 9+ years of experience in Business Analysis Environment with 3 years in Salesforce as an Administrator

CORE COMPETENCIES:

• Engaging and coordinating business analysis sessions for understanding client’s business processes and mapping them to required business standards
• Attending New Business Requirement Sessions & Playing the main Role in POC.
• Working closely with Sales & Pre - Sales Team in Product Promotion.
• Understanding Client Business and Providing the Best Possible Solution on Revenue Generation Model.

TECHNICAL SKILLS SALES FORCE:

Salesforce Technologies: Salesforce CRM, Salesforce SFA, Salesforce Outlook, Workflow & Approvals, Dashboards, Analytic Snapshots, Case Management Automation, Custom Objects, Data Loader.

Operating Systems: Windows 2003 Server/Windows 2000/ XP/ Windows 2010

Other software: MS-Office, Oracle 10g/11g, SQL, Advance Excel (Data functions, Pivot tables, Reference Lookups etc.), Access.

EMPLOYMENT HISTORY:

Confidential, Houston, Texas

Advertising Review Analyst / SharePoint Site Administrator

Responsibilities:

• Review sales materials for VALIC and SUN America in compliance with SEC and FINRA guidelines.
• Develop guidelines in accordance with Department of Labor “DOL” fiduciary guidelines for Compliance Advertising Review Team.
• Conducted consulting for marketing, Department of Labor project implementation and research analysis with excellent analytical.
• Review sales material to ensure compliance with DOL fiduciary guidelines.
• Constructed Excel spreadsheet to display all information pertinent to company competition including automation of advertising review spreadsheet and document submission calculator for marketing department.
• Identify improvement opportunities in work flow and suggest solutions

SharePoint Site Administrator

Confidential

Responsibilities:

• Experience in Microsoft SharePoint 2010 installation, configuration, management, and creating custom solutions using server - side and CSOM.
• Experience with CRM, developed Plugins, Workflow, Web resources, Business Process Flows, Forms.
• Experienced in developing Web Part Templates, Deploying Web parts, Connection between Web parts and Web Control library templates
• Hands on experience in installing, configuring and administering SharePoint 2010 and 2013 on site servers as well as on cloud
• Experienced using SP2013 new features like Tag, Newsfeed, Micro blogging, App store, Cross Site Publishing etc.

Confidential, Houston, Texas

Compliance Controls Coordinator

Responsibilities:

• Review client files and ensure all post-issue requirement are submitted in a timely manner.
• Track and supervise all agency producer’s insurance and securities licensing log.
• Conduct agency's Annual Individual Supervisory Review “AISR”.
• Administered and verified personal securities trading activities. Knowledgeable of the SunGard PTA trading system.
• Administered Annual Code of Ethics to ensure associates complied with SEC requirements.
• Assessed and tracked Pay-to-Play political law reporting requirements driven by SEC regulations that resulted in accurate SEC reporting.
• Managed and validated data annually for firm’s investment adviser registration filings (Form ADV)
• Analyzed conflict of interest activities, identified and reported on significant issues integrated in annual report related on outside business activities, gifts & entertainment and personal trading to ensure disclosure effectiveness.
• Conducted email surveillance and analysis on material non-public information.
• Partnered with management on numerous compliance related projects, created efficient reports on firm’s internal examinations and composed responses on internal audit requests that resulted in monitoring risk and improve compliance activity.
• Identify improvement opportunities in work flow and suggest solutions

Confidential, Houston, Texas

Surveillance Analyst

Responsibilities:

• Reviewed internal correspondence to ensure adherence to firm's policies and procedures.
• Reviewed Social Media profile of affiliated representative to ensure the profiles are within the guidelines of firm's WSP.
• Analyze Equity Solicitation/ OTC trades to ensure that Advisors are not potentially soliciting equity purchases or trading over the counter against firm policy.
• Analyze Fixed Income trades to ensure that Advisors have not purchased Non-Investment Grade Bonds or Junk Bonds unsuitable to the client.
• Build reports in SQL to analyze and validate trade commissions
• Perform monthly extensive profile investigations on trades and commissions of an Advisor selected based on potential trends and patterns that may not be suitable for the client and compile a narrative for submission to Supervision
• Provide updates and recommendations to IT during monthly DLP Symantec meetings regarding experienced system issues pertaining to data feeds.
• Perform a routine review of A-Share and C-Share trades to identify negative trends and patterns of Advisor trade activity to manage potential risks to the firm

Confidential, Lincoln, Rhode Island

Investments Analyst / Salesforce Administrator

Responsibilities:

• Pla c ed E qu i t ies, Mu t u al F u nd s, Bonds an d O pt io n s trades in c lient’s acc ou n ts.
• Resolved c lie n t’s c omp l ex b r ok era ge acc ou n t b ala n c es and t r ad e r elate d inquiries .
• Ad vis ed an d e du c at ed c li ents on Eq u it y, B on ds, Mutual Fund and Opt i ons investments.
• Worked with senior leadership to provide transparency between all levels of the department to improve engagement
• Subject matter expert in Thompson Reuters and assisted educating new and old associates on complex functions
• Built and managed firm’s book of business with diligent client relationship management
• Constructed Excel spreadsheet to display all information pertinent to company competition including options calculator, associates daily comp numbers and mutual fund sales load calculator Sales Force Experience
• Worked on various salesforce.com standard objects like Campaigns, Leads, Accounts, Contacts, Opportunity, Territory Management, Reports and Dashboards
• Created different workflow rules and Approvals, Email Templates to run the Territory Assignment rules.
• Developed and configured various Reports for different user profiles based on the need in the organization
• Interacted with various business user groups for gathering requirements for Salesforce implementation and documented the Business and Software requirements.
• Used Pick lists, Dependent Pick lists, and Record Types to enforce data quality.
• Created Dashboards and Dashboard Components and implemented multiple levels and scheduled Dashboard refresh.
• Created Many-to-Many relationships and created Junction objects to implement Roll-up Summary fields to aggregate data from child records on the parent.