Petra (Angel) Torres
Laveen
Summary
Accomplished Compliance Associate at Wilde Wealth Management, adept in financial crime prevention and fostering team collaboration. Excelled in mitigating risks and enhancing operational efficiency, evidenced by spearheading compliance training and regulatory updates. Proven leadership in guiding Charles Schwab's support team to maximize performance, demonstrating critical thinking and multitasking prowess.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Compliance Associate
Wilde Wealth Management
03.2023 - Current
- Mitigate risk to the firm and clients by ensuring that training is completed. Both firm element and regulatory
- Conduct Trade Review in the SmartWorks Trade Review system to resolve regulatory flags
- Review submissions in Pinpoint, ranging from Ad Review, Correspondence, Checks & Securities, Gifts & Annual Client Review logs
- Review internal and external communications for regulatory issues ranging from complaints to legal issues in Smarsh
- I also review compliance with safeguarding private client information
- Send monthly updates to the field regarding compliance and regulatory updates as well as training reminders
- Conduct periodic meetings to discuss potential findings with Advisors and their support staff
- Review and sign off on OSJ/Principal review items in Docupace
- Served as a subject matter expert on compliance-related topics, providing guidance to colleagues and stakeholders as needed.
- Provided guidance to team members for promoting culture of compliance within organization.
National Branch West – Manager – Client Relationship Support
Charles Schwab
01.2019 - 10.2023
- Managed the support team of 12 for the National Branch West Region
- Utilized Salesforce to maintain the support queue and assign cases between support staff and Partner Support
- Held Delegation of Authority for 7 branches and assist in maintaining Supervision & Controls standards for the region
- In 2022 & 2023; conducted training for Schwab Green Concierge teams (TDAmeritrade), Green BRD/BRT Reps & Partner Support Ultra High Net Worth reps on EASE – Electronic Account Opening
- Conducted performance evaluations to identify areas for employee growth.
- Implemented training programs for enhanced employee skills.
- Maximized performance by monitoring daily activities and mentoring team members.
National Branch West – Sr. Client Relationship Specialist
Charles Schwab
01.2016 - 01.2019
- Worked closely with FC’s to ensure clients issues and operational needs were successfully completed, including receiving paperwork, scanning into myQ for processing and prefilling documents for managed enrollment
- Acted as Delegation of Authority to assist in PBS, approval of branch cashiering, review correspondence, managed record retention and reviewed Alert Manager surveys
- Worked with FC’s to ensure client Ongoing Program Assessments were completed within industry standards on accounts enrolled in managed products
- Demonstrated leadership and ensured compliance with all established operations policies and procedures
- Exercised the ability to identify situations that need to be escalated to the Assistant Branch Manager or Branch Manager
- Delegated service and operations issues to Partner Support when appropriate to improve productivity for FCs
- Took ownership for problem resolution related to complex operational problems and worked with Partner Support when necessary
HD Ops Senior Resolution Specialist
Charles Schwab
01.2007 - 01.2016
- Helped floor reps on an inbound Help Line and assist colleagues with issues that they are unfamiliar with
- I also speak to clients on follow-up resolutions occasionally
- Researched and resolved complex issues on a broad range of situations
- As well as completed operational tasks found in ACE/SWISS and/or faxed directly to me
- Proactively sought out relationships with other departments to assist in the resolution of complex and escalated issues
- Proactively created and delivered cross training material to share knowledge with HD Tech and streamlined workflow within the department
- In 2011 I served a Career Building Opportunity with EB branch processing employee paperwork and serving as customer service on an inbound line to employees
- In 2009 I served as ATM while my manager was on vacation
CS&S CSR
Charles Schwab
01.2004 - 01.2007
- Provided client account information, market information and place trades on clients’ behalf
- Also resolved a broad range of client issues
- Assisted colleagues with procedural and policy questions and reverse ghosted with new hire colleagues to provide feedback and assisted in a successful transition onto the phones
- Maintained a working relationship with business partners to ensure my success and the success of my team
Education
GED -
Metro Tech
Phoenix08-1997
Skills
- Enhanced due diligence
- Financial crime prevention
- Customer due diligence
- Know your customer
- Compliance monitoring
- Regulations
- Multitasking
- Team collaboration
- Critical thinking
- Operational efficiency
Certification
- Series 9/10 General Securities Sales Supervisor- Financial Industry Regulatory Authority(FINRA).
Languages
Spanish
Professional Working
Timeline
Compliance Associate
Wilde Wealth Management
03.2023 - Current
National Branch West – Manager – Client Relationship Support
Charles Schwab
01.2019 - 10.2023
National Branch West – Sr. Client Relationship Specialist
Charles Schwab
01.2016 - 01.2019
HD Ops Senior Resolution Specialist
Charles Schwab
01.2007 - 01.2016
CS&S CSR
Charles Schwab
01.2004 - 01.2007
- Series 9/10 General Securities Sales Supervisor- Financial Industry Regulatory Authority(FINRA).
GED -
Metro Tech
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