Sheree R Johnson

 Compliance Specialist Sheree Johnson Objective A quality-driven Compliance Specialist experienced and dependable professional with extensive knowledge of administration and compliance regulations. Familiar with tracking, documentation, and reporting requirements, possessing leadership skills with the ability to work independently or with a team. Capable of managing multiple projects with exceptional communication and organizational skills. Assesses work and procedures and recommends adjustments while maintaining compliance. Skilled in managing customer relationships, from compliance audits to compliance recommendations. Experience August 2018 - Current Sr. Registration Specialist Edward Jones Investments Promoted to Sr. Registration Specialist to arrange and process licenses and registrations for branches, financial advisors, and home office associates. Completing required filings with the SEC, FINRA, and state regulatory authorities. Aligning industry rules and regulations with state-specific requirements and policies. Collaboration across departments to reduce the risk of non-compliance. Salesforce Objective SME/Superuser, successful implementation to department 2020-Present: Hosting breakout sessions at department objective meetings Department pass rate 90%-95% -individual pass rate 93%. Salesforce satisfaction rate 93.5% July 2017 – August 2018 Verification Specialist Edward Jones Investments Hired to strengthen the core efforts in the Verifications department. Completion of 100+ client verification letters daily. Document changes to Client accounts. Take clients' phone calls. Recruited to train contingent associates on the operations of the department. Effective oversight of the verification letters completed by peers. Department metrics: processing error percentage rate maximum 3% - individual average 0%-1% error rate Supported the CA Letter Objective. The objective was to streamline steps taken to update a verification letter and to improve the client’s experience. Education June 1997 Hazelwood West High School Skills Federal and State Regulations Investigation Skills Document Review Policy and Data Analysis Customer Service Skills Communication Skills Business Development Poised Under Pressure Technical Skills FINRA API Webcrd SalesForce APEX Adobe Acrobat Microsoft Applications Peoplesoft Contact St. Louis, MO 63116 (314) 728 - 5102 -LinkedIn: Sheree Johnson