Catrina Collins

Manager Brokerage Operations @TIAA

Charlotte, NC, US

Lead the Broker Dealer Operations team of 16 analysts, responsible for account openings, money movement, transfer of assets, and account maintenance. • Provide continuous coaching and feedback to the team, including training and development opportunities based on organizational competencies. • Launched the Transfer Ambassador program, which consists of biweekly calls with business partners and financial advisors to provide education on the transfer process, provide shadowing of the workflow process, and discuss challenges, resulting in a 8% decrease to the NIGO rate.• Partner with the Risk and Controls team to create supervisory controls for various functions and update SOPs to be sure targeted process improvements are met.• Develop and implement oversight processes needed to ensure controls are effective. Recent projects include revised WSPs to make sure customer transfer requests are being submitted in a timely manner and a new WSP for the Low Price Security Review.• Designed and facilitated team training to prevent receipt of ineligible assets.• Ensure processes adhere to company policies and procedures by completing daily principal activity reviews, meeting with business partners and vendors, and working with the compliance audit team to review internal test controls. • Monitor account transactions and review due diligence for risk, AML, and fraud.• Manage workflows and provide guidance to meet service level agreements.

East Tennessee State University

Bachelor of Science, Criminal Justice