Janis Gonzalez | RemoteHub

Experience

Fidelity Investments

Mar 2022 – Present

San Antonio TX (Remote)

Compliance Associate

Evaluated supervisory escalations from advisors, collaborating with compliance experts to devise corrective action plans; improved adherence to industry standards across the firm. Detected and escalated 10-15 weekly trade correction scenarios, encompassing potential violations like front-running and market manipulation, ensuring adherence to FINRA guidelines and mitigating firm risk. Led cross-functional teams to implement Securities and Compliance initiatives aligned with Fidelity's Code of Ethics, achieving 100% regulatory coverage and a 22% efficiency boost. Drove compliance excellence by spearheading training initiatives for 800+ employees, resulting in a 98% training completion rate. Directed risk assessments and remediation strategies, improving Office Operations and process management, resolving 95% of issues within 45 days. Conducted high-priority insider risk investigations, including suspicious activity reporting (SAR) analysis and research into relevant legislation, leading to internal control enhancements and personnel actions.

JP Morgan

Apr 2019 – Feb 2022

San Antonio TX

Supervision LIason

Conducted trade reviews and surveillance for 100+ registered reps, leveraging Transaction Monitoring Systems and AML compliance checks to ensure regulatory compliance. Responded to flagged transactions and client complaints in line with FINRA and firm protocols. Maintained accurate CRD records and ensured licensing adherence per FINRA Rule 3110. Developed a new account supervisory checklist, improving risk identification by 95% and driving process enhancement across the team. Collaborated with legal counsel to ensure compliance with FinCEN regulations and supported the application process for Money Transmitter License (MTL) renewals under FINRA and CFR guidelines, resulting in 67 successful renewals. Reviewed supervision inquiries with advisors and sourced solutions.

JP Morgan

Jun 2017 – Mar 2019

San Antonio TX

Training And Learning Lead

Enhanced client onboarding procedures, personally reviewing 30+ employee files weekly to verify licensing compliance. Revamped the onboarding process and implemented a verification system, which eliminated redundant steps and improved data integrity for over 150 advisors semiannually. Tracked LMS training progress for 300+ employees, achieving a 97% completion rate.

Education

University of Texas Austin

Bachelor of Business Administration, Economics