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Compliance Associate

Creative, deadline-oriented, and organized with an ability to prioritize tasks and objectives. Looking to build a long-term career with a company that offers a positive atmosphere to learn and implement new skills and opportunities for career growth.

• Generate daily reports for previous business day trades and distribute to respective supervisors
• Update and maintain restricted list for deals, research coverage, and rating changes
• Spot check published research reports to ensure correct disclosures are included and compliance guidelines are followed
• Run trade reports for initiation of coverages, rating changes, and dropping coverage on companies
• Assist in the new-hire/pre-hire process
• Schedule and log communications between the banking and research departments
• Log employees brought over the wall on active deals
• Send out closed deal checklists and ensure all documents/deliverables are accounted for
• Spot check electronic communication
• Document statements for outside accounts and distribute to supervisors
• Main point-of-contact for offsite record management

? In charge of club's loss prevention and daily member service audits
? Audited daily club retail revenue and balanced banking in club
? Trained and groomed Service Representatives to ensure tasks are being completed 100% to goal
? Responsible for monthly and daily retail goal and tracked the service department's representatives on their shift-based goal
? Interviewed potential candidates for Service Representative position
? Assisted guests through the membership process and integrated the sales representatives along the tour
? Face of operations staff and manager on duty
? Built strong rapport with the network of constant members and guests

Assistant Operations Manager

Hired to assist with the 2019 ROTH Conference
Pre-Conference:
- Collaborate with the Graphics department on flyer and presentation material design
- Coordinate with participating companies in building presentation schedules
- Ensure all contact information for guests/presenters are up to date
- Maintain the presentation schedule and distribute updated schedule to attendees
During the Conference:
- Check-in guests and distribute schedule
- Ensure room set-up is correct (type of presentation/presentation material, room sponsor, furniture set-up)
- Direct attendees to correct rooms/tables for meetings and presentations
Post-Conference:
- Coordinate with the Graphics department on design, layout, and selecting photos for conference photo book
- Send out thank-you letters
- Convert presentations from PowerPoint to PDF
- Update system with final statistics
- Balance budget

Marketing Associate (Temp)

? Sales account executive for Nutshell Wifi
? Establish accounts on self-generated leads by calls and personal meetings with potential clients
? Development of rapport with potential leads
? Ensure goal achievement of accounts with routine success reports
? Participated and strengthened strategy meetings to expand business development

Account Executive

- Created and directed the Don’t Leave Strands Stranded project
- Organized beach cleanups
- Managed social media pages
- Produced final project video

Project Manager

- Convert physical magazine content to an online web e-magazine layout
- Researched and reached out to local businesses to be included in directories
- Observed photo shoots to best see how the images would apply themselves in a web setting
- Distributed directories to businesses linked to the physical Laguna Beach Magazine

Digital Team Intern

Find out detailed information about Erika Nielsen, Compliance Associate in Irvine, CA

Erika Nielsen: Compliance Associate in Irvine, CA

Erika Nielsen

Roth Capital Partners

24 HOUR FITNESS

Roth Capital Partners

DigiMapps

Devotion To My Ocean

Firebrand Media

Firebrand Media

San Jose State University