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Q&A With Tamika Franks

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Tamika Franks
Assistant Vice President/Compliance Officer/Principal, First Citizens Investor Services
Location: Raleigh, NC United States
Joined: Jan 22nd, 2007
About   (request update)
Experience
I currently work with First Citizens Investor Services as Assistant Vice President/Compliance Officer/Principal
I have years of experience working in the industry.
Assistant Vice President/Compliance Officer/Principal | First Citizens Investor Services
From June 2007 to Current • 19 year(s)
 Review and approve new accounts and client correspondence, examine supervisory activities for compliance, monitor account activity to identify high-risk accounts and potential AML issues.
Assistant Vice President- Compliance Officer | Legg Mason/Smith Barney
From January 2006 to May 2007 • 1 year(s)
 Investigate client complaints, negotiate settlements, respond to regulatory inquiries, and conduct onsite examinations of branch offices.
Registered Client Service Rep. | Legg Mason
From December 2003 to January 2006 • 3 year(s)
 Assist Financial Advisors, communicate with clients, prepare paperwork, research and resolve problems, open new accounts and enter trades.
Client Service Associate- Internet Based Payroll | ADP Pay eXpert
From June 2002 to August 2003 • 1 year(s)
 Resolve product capability issues, provide technical support for internet-based payroll product, and process payrolls for clients.
Retirement Plans Senior Associate | T. Rowe Price
From February 1999 to May 2002 • 3 year(s)
 Handle high volume telephone inquiries from retirement plan participants, respond to client inquiries regarding investment options and fund performance.
Compliance Specialist | T. Rowe Price
From February 1999 to May 2002 • 3 year(s)
 Track contract negotiation documentation, contact plan trustees, distribute quarterly financial data, and maintain various compliance files.
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