Erik Bell

Background

About Erik Bell

Sr. Compliance Analyst with over twenty years of experience in the Financial Services industry, including auditing, leading, investing, and financial analysis. Experienced in RegEd audit programs, Bloomberg e-mail surveillance, ProSurv financial sales surveillance, MS Excel, Access, Word, and PowerPoint. Major strengths in workflow production, research, problem solving vendor and customer service management, and workforce management. Proven record of sound business judgment, expanding responsibility and achievement across multiple functions. Industry Experience March 2015 – Present Compliance Analyst, Travelex Monitor financial transactions to ensure that they satisfy the Patriot Act, Anti-Money Laundering, and Customer Identification guidelines. July 2010 – January 2015 Senior Compliance Analyst, Hilliard Lyons Conduct internal audit of branches and advisors throughout the Hilliard Lyons footprint. Monitor the sales practices, trading activity, and operational functions of branch managers and ensure compliance with applicable industry rules (state, FINRA, SEC, etc.) Responsible for reviewing the firm’s supervisory system which includes implementing policies and procedures designed to detect and prevent rule violations. Take and recommend to senior management appropriate actions regarding compliance matters, customer complaints, and miscellaneous types of regulatory issues. February 2008 - July 2010 Customer Identification Analyst II, Hilliard Lyons Ensured that each individual listed on accounts satisfied Patriot Act, Anti-Money Laundering, and Customer Identification guidelines. Evaluated foreign accounts to ensure appropriate tax and compliance guidelines were met. June 2007 – January 2008 Senior Financial Consultant, PNC Investments Built rapport and trust while carefully analyzing clients’ financial needs within the PNC branch network.