Naya W.
Financial Services Professional | Series 6 & 63 | Compliance & AML-Focused | Retirement Plans • Risk Management • Client Education
- Role
- Registered Representative at Alight Solutions
- Location
- Dallas, TX, US
- LinkedIn followers
- 500 followers
About Naya W.
I am a finance professional with a B.S. in Mathematics (minor in Finance), an A.A.S. in…
Experience
Registered Representative
Dec 2021 — Present · US
Provide financial education and investment guidance to all Thrift Savings Plan (TSP) participants, including uniformed and civilian employees while maintaining strict compliance with FINRA and SEC standards.• Assist participants in understanding investment options, fund allocations, and financial planning strategies.• Research and interpret financial data to support informed decision-making.• Apply AML and KYC knowledge to ensure accurate client identity verification and suitability of recommendations.• Maintain compliance with TSP policies, SEC regulations, FINRA guidelines, and other applicable financial industry standards.• Stay current on regulatory updates, including FINRA Rule 2090 (Know Your Customer), Rule (Suitability), AML laws, Gramm-Leach-Bliley Act, SEC guidelines, and more for registered representatives.• Collaborate with internal teams to enhance financial education resources and participant experience.
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