Nicole Ugolini
Frederick
Summary
Detail-oriented Regulatory Analyst experienced in financial data analysis and discrepancy investigation, ensuring compliance with internal controls. Specializes in producing clear documentation, coordinating cross-team efforts, and managing sensitive information. Supports audit processes and identifies risks to enhance operational integrity.
Overview
12
12
years of professional experience
Work History
Senior Investment Analyst
MUFG Investor Services
Rockville
10.2022 - 03.2026
- Reviewed financial transactions for accuracy and compliance with internal controls, contributing to overall financial integrity.
- Investigated complex discrepancies, identified root causes, and implemented appropriate resolutions.
- Partnered with teams to streamline processes, enhancing risk management and operational effectiveness.
- Coordinated cross-team efforts to gather information, ensuring timely and accurate resolution of issues.
- Documented findings clearly and maintained organized records to support audits and reporting.
- Acted as a point of contact for issue resolution and escalations.
- Handled sensitive client and financial data with strict attention to confidentiality and privacy.
Investment Analyst
MUFG Investor Services
Rockville
06.2019 - 10.2022
- Analyzed and processed financial transactions to ensure data accuracy and compliance.
- Collaborated with senior analysts and team members to resolve discrepancies, enhancing data integrity.
- Investigated discrepancies and resolved issues by working with internal and external teams.
- Prepared for audits by providing documentation and addressing inquiries, facilitating smooth audit processes.
- Followed established procedures and regulatory guidelines to complete tasks within deadlines.
Investment Analyst Intern
MUFG Investor Services
Rockville
02.2019 - 06.2019
- Contributed to preparation of accurate financial reports for informed decision-making.
- Paired with analysts to resolve discrepancies to report accurate data.
- Took initiative to learn multiple processes and improve workflow efficiency.
- Revised process procedures to improve clarity and streamline operations.
- Facilitated daily operations and reconciliations to ensure smooth workflow.
Restaurant Server
Great American Restaurants
Gaithersburg
05.2016 - 02.2019
- Provided friendly and attentive service to enhance guest dining experiences.
- Took customer orders accurately and communicated them to the kitchen staff.
- Trained and mentored new team members, enhancing team cohesion and service quality.
- Assisted in maintaining cleanliness and organization of dining areas and tables.
Childcare Provider
Self-Employed
Germantown
11.2013 - 05.2016
- Managed in-home daycare operations, maintained safety compliance, coordinated schedules, and documented daily activities.
- Supervised children's daily activities and ensured a safe environment.
- Developed engaging learning plans to stimulate children's growth and development.
- Provided nutritious meals and snacks while accommodating dietary restrictions.
Education
Bachelor of Science - Business Administration
University of Maryland Global Campus
Adelphi, MD05-2023
Skills
- Fund accounting
- NAV calculation
- Trade settlement
- Discrepancy resolution
- Data reconciliation
- Internal Controls
- Training collaboration
- Process review and improvement
- Process improvement
- Bloomberg
- Critical thinking
- Problem solving
- Verbal communication
- Training and knowledge sharing
- Effective written and verbal communication
Timeline
Senior Investment Analyst
MUFG Investor Services
10.2022 - 03.2026
Investment Analyst
MUFG Investor Services
06.2019 - 10.2022
Investment Analyst Intern
MUFG Investor Services
02.2019 - 06.2019
Restaurant Server
Great American Restaurants
05.2016 - 02.2019
Childcare Provider
Self-Employed
11.2013 - 05.2016
Bachelor of Science - Business Administration
University of Maryland Global Campus