SANDRA SPAGNOLI
Stamford,CT
Summary
Enthusiastic professional eager to contribute to team success through hard work, attention to detail and excellent organizational skills. Seasoned Compliance Officer with 12+ years of experience working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and best practice introduction.
Overview
12
12
years of professional experience
Work History
Associate
Greyline Partners, LLC Part Of IQEQ
New York, NY
02.2022 - 03.2022
- Assisted with meeting preparation and documentation of compliance testing.
- Organized relevant documents in Box to collaborate across teams.
- Supported consultants with maintaining client compliance program.
- Analyzed clients trading practices and personal trading.
- Processed amendments/renewals to Form ADV filings.
Associate Compliance Officer/Office Manager
SeaCrest Wealth Management, LLC
Purchase, New York
07.2017 - 02.2022
- Provided daily operational support/solutions to Wealth Advisor/Registered Representatives, while complying with all policies and procedures.
- Conducted office reviews to test compliance with policies, procedures and control.
- Led positive relationships with regulators fostering an environment of mutual trust and respect.
- Influenced Wealth Advisor to ensure alignment with industry best practice.
- Organized new accounts by obtaining all necessary client information and documentation.
- Drove successful completion of all client relationship issues.
- Assisted Chief Compliance Officer with regulatory reporting (Form ADV and Form 13F).
- Responded to ongoing regulatory and branch audits.
- Provided general administrative duties which include new hire onboarding, conference planning, scheduling conference calls, ordering office supplies and ordering meals for guests.
- Developed testing documentation using tools such as Morningstar Office.
- Monitored emails and report urgent issues to Chief Compliance Officer.
- Assisted in administering third party due diligence questionnaires.
- Reviewed newsletters, websites and other marketing documents for adequate disclosures and accuracy for regulatory requirements.
- Established and cultivated productive relationships with regulatory bodies.
- Scheduled and conducted evaluations of company policies, procedures and internal control structures.
President
HOPE DALE ASSOCIATION BOARD
03.2015 - 07.2017
- Coordinated multiple building maintenance projects and upgrades to enhance marketability and position of assets.
- Achieved under-budget and on-time project management to adhere to project goals.
Business Assistant
MASTERS ESQUIRE, INC./ MASESQ SHIPBROKERS
10.2016 - 01.2017
- Reviewed invoices and payment requests for voyage charters prior to approval.
- Evaluated trends to understand competitive environments and assess current strategies
Office Manager
ELECK & SALVATO ELECTRIC, INC
NORWALK, CT
03.2016 - 09.2016
- Excel in resolving employer challenges with innovative solutions, systems and process improvements proven to increase efficiency, customer satisfaction and the bottom line.
- Increased workflow/process improvements.
- Processed payroll and managed all insurance audit requests.
Bookkeeper
TEMPORARY AGENCY ASSIGNMENTS
EXCEL PARTNERS, INC. NORWALK, CT, KFORCE, INC
STAMFORD, CT
09.2015 - 12.2015
- Highly organized and detail-focused Bookkeeper with track record of accurately and efficiently supporting overall accounting activities.
Administrative Assistant
GUTTILLA CONTRACTING, LTD
Bronxville, NY
04.2014 - 08.2014
- Maintained a high level of client communication and delivered outstanding client service with timely responses and proactive solutions.
- Coordinated meetings with architects, subcontractors and vendors.
- Prepared business proposals, change orders, contracts and researched and purchased materials for projects.
- Proactively maintained calendar for management including questioning attendance requests, delays and changes.
- Ensured that items and topics of importance that arise throughout the day were brought to their attention in an efficient manner.
Bookkeeper
WESTCHESTER PROPERTY MANAGEMENT GROUP
Hartsdale, NY
12.2012 - 04.2013
- Administered expert processing of documentation related to business transactions, ensuring the accurate tracking and reporting of accounts payable/receivable and payroll.
- Continuously maintained high levels of accuracy, organization, productivity, and timeliness.
Receptionist
SUPERIOR AIR SYSTEMS MECHANICAL CORPORATION
Mount Vernon, NY
04.2012 - 09.2012
- Supported administrative operations, assisted team members in the attainment of daily goals.
- Handled incoming calls, addressed issues, answered questions, and transferred concerns to the right parties.
- Controlled office inventory, purchasing supplies and HVAC equipment when needed.
- Maintained productive working relationships with technicians, vendors, and customers through continuous communication and support.
- Collaborated in successful and timely project completion by working with President and Estimator in the preparation of closing documents.
Bookkeeper
CROWN WATERPROOFING INC
Mount Vernon, NY
10.2011 - 03.2012
- Analyzed and prepared monthly billings, tracked accounts receivable, and supported additional administrative functions.
- Assisted with external audit operations and certified payrolls.
- Facilitated completion of OCIPs by collaborating with project manager.
- Ensured the effective and timely processing of contractor exempt purchase certificates.
Receptionist
PHOENIX CONSTRUCTION GROUP INC
Greenwich, CT
11.2009 - 01.2010
- Generated reports on active construction projects.
- Confirmed appointments, communicated with clients and updated client records
- Managed multiple tasks and met time-sensitive deadlines
- Provided clerical support to company employees by copying, faxing and filing documents
Treasury Analyst
JARDEN CORPORATION
, NY
08.2005 - 10.2007
- Handled cash close for corporate and related bank accounts on a weekly and monthly basis.
- Administered foreign exchange spot trades and authorized contracts.
- Compiled foreign exchange rates for Hyperion team.
- Assisted Vice President in calculating corporate debt interest for Financial Management Reporting.
- Reconciled debt, accrued interest, and interest expense balances.
- Supported responses to Sarbanes-Oxley (SOX) audit requests.
- Liaised with banking representatives.
- Effectively resolved intercompany reconciliation issues related to corporate cash and general ledger accounts for month-end close.
- Delivered cash flow planning analysis encompassing senior credit facility notices, interest rate swap settlements, and foreign exchange settlements.
Education
Bachelor of Business Administration - Finance
Iona College
01.1995
Skills
- Global Relay
- Morningstar Office
- Redtail CRM
- Advisor Cloud 360
- Charles Schwab Platform
- Star Compliance
- ACA Compliance Alpha
- Collaboration and teamwork
- Planning and Coordination
- Interpersonal Communication
- Critical thinking
- Compliance Reporting
- Data Analysis
- Account Management
Timeline
Associate
Greyline Partners, LLC Part Of IQEQ
02.2022 - 03.2022
Associate Compliance Officer/Office Manager
SeaCrest Wealth Management, LLC
07.2017 - 02.2022
Business Assistant
MASTERS ESQUIRE, INC./ MASESQ SHIPBROKERS
10.2016 - 01.2017
Office Manager
ELECK & SALVATO ELECTRIC, INC
03.2016 - 09.2016
Bookkeeper
TEMPORARY AGENCY ASSIGNMENTS
EXCEL PARTNERS, INC. NORWALK, CT, KFORCE, INC
09.2015 - 12.2015
President
HOPE DALE ASSOCIATION BOARD
03.2015 - 07.2017
Administrative Assistant
GUTTILLA CONTRACTING, LTD
04.2014 - 08.2014
Bookkeeper
WESTCHESTER PROPERTY MANAGEMENT GROUP
12.2012 - 04.2013
Receptionist
SUPERIOR AIR SYSTEMS MECHANICAL CORPORATION
04.2012 - 09.2012
Bookkeeper
CROWN WATERPROOFING INC
10.2011 - 03.2012
Receptionist
PHOENIX CONSTRUCTION GROUP INC
11.2009 - 01.2010
Treasury Analyst
JARDEN CORPORATION
08.2005 - 10.2007
Bachelor of Business Administration - Finance
Iona College
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