Jonelle O.

About Jonelle O.

Compliance governance and operations professional with 10+ years of progressive experience within global financial institutions. Proven leader in regulatory oversight, operational controls, and cross-functional governance, with demonstrated success supporting enterprise compliance strategy, resource coordination, and audit readiness. MBA-prepared professional experience in strengthening internal controls, supporting audit readiness, and translating complex compliance data into structured insights that inform decision-making across matrix environments.

Experience

1. Employee Compliance

   SMBC Group

   Jul 2024 — Present

   Currently supporting employee compliance and regulatory oversight within SMBC’s Employee Compliance Department. Reconcile over 900 employee-linked brokerage accounts to ensure accuracy, completeness, and alignment with internal policies and regulatory standards.Collect and verify documentation for 450+ managed accounts, including statements, trade confirmations, and account opening records. Perform quality control reviews, collaborate with HR on pre-hire disclosure reviews, and utilize internal systems such as STAR and HR platforms to track workflows and support audit readiness.Key Contributions:Conduct large-scale reconciliations across hundreds of employee-linked brokerage accountsMaintain compliance documentation and audit trails in a high-volume environmentReview onboarding disclosures and collaborate cross-functionally with HRIdentify and resolve discrepancies between brokerage feeds and internal recordsPerform quality control reviews on team reconciliations

Education

• New Jersey City University

  Master's degree, MBA

• New Jersey City University

  Bachelor of Science, Business, Management,

• William L Dickinson H.S

  Diploma

  1999 — 2003