A member of the team since 2010, Monica brings over 20 years of experience spanning project management, data analysis, compliance support, electronic communications surveillance, and anti-money laundering.
She is a subject matter expert in Enhanced Due Diligence risk screenings for high net worth and international clients, with hands-on experience writing high-risk customer summaries, running quality control and assurance functions, and developing compliance procedures and documentation. Earlier, Monica served as Associate Vice President on the Correspondent Conversion Team at First Clearing Corporation, leading strategic and tactical integration for new correspondent clearing clients and managing full project scope from systems configuration and data analysis through coordination across multiple divisions of a national brokerage firm. She has also completed multiple engagements with the AML Compliance Department of a national broker-dealer, performing audits, year-end processing, Patriot Act certificate validation, and compliance systems training.
Monica holds a Bachelor of Science in Dance Education from Radford University, completed Six Sigma Greenbelt Training at Villanova University and Project Management Professional coursework at Wachovia Securities, and holds a FINRA Series 7 registration.
