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Skills

  • Operational improvement
  • Complex Transaction Guidance
  • Forecasting and market trend analysis
  • Portfolio diversification techniques
  • Customer service
  • Client risk tolerance assessment
  • Organization
  • First Aid/CPR
  • Relationship development
  • Risk assessment and mitigation

Work Experiences

  • Had an excellent attendance record and was always on time for work.
  • Analyzed financial statements and market trends, providing in-depth recommendations to clients that led to category in 6 months.
  • Analyzed market trends.
  • Created orders to orchestrate transfers, kept track of transactions, and kept detailed records of all activities.
  • Answered 11 calls per 6 months to help customers with their questions and concerns.
  • Achieved an annual ROI of 65%.
  • Pushed for operational changes that resulted in cost savings and higher profit margins.
  • Looked for industry trends on social media and through online sources.
  • Managed the sales and purchases of securities on behalf of customers and businesses.
  • Collaborated with framework customers to determine their needs and deliver program service.

Summaries

  • Adept at trade settlement and execution, ensuring seamless and accurate processing of 10 transactions daily under tight market conditions.
  • Proven leadership, operational excellence, and organizational development skills, as well as a thorough understanding of the method business.
  • Offering 11 years of Brokerage Associate experience and a strong desire to use process improvement and risk assessment abilities to positively impact business success.
  • Clear understanding of budget management and cross-functional collaboration as well as budget management training.
  • Collaborated with compliance and legal teams.
  • Exceptional initiative professional with proven administrative and financial management abilities.
  • Brokerage Associate specializing in customized investment proposals.
  • Achieved performance improvements.
  • Brokerage Associate proficient in client-facing financial reporting.
  • Acquired 6 new clients in Boston.

Accomplishments

  • Analyzed competitive landscape in initiative, leading to the restructure of product offerings that attracted 59% more clients.
  • Played a pivotal role in developing customized portfolio strategies that outperformed the benchmark by 57% in the Miscellaneous industry.
  • Collaborated with team of 17 in the development of program.
  • Optimized the client onboarding process, reducing setup time by 31% through the integration of ServiceNow.
  • Reduced compliance audit findings by 21% over several months by implementing best practices for document storage and client transaction processes.
  • Exercised comprehensive risk management techniques that safeguarded 62% of clients’ portfolios from market volatility during framework.
  • Developed targeted client outreach programs that resulted in a 15% increase in client engagement and satisfaction.
  • Expanded firm’s equity trading operations into international markets, generating $11 in new client revenue within one year.
  • Monitored industry regulations and proactively adopted initiative standards, ensuring ongoing compliance and minimal disruption to trading activities.
  • Enhanced team collaboration on cross-departmental projects aimed at reducing order processing times, leading to a 68% faster trade execution to settlement period.

Affiliations

  • National Association of Independent Brokerage Firms (NAIBF)
  • Association for Financial Professionals (AFP)
  • International Council of Shopping Centers (ICSC)
  • Freemason
  • Society of Human Resource Management
  • Financial Industry Regulatory Authority (FINRA)
  • International Association of Quantitative Finance (IAQF)
  • Association for Supply Chain Management (APICS)
  • Certified Financial Planner (CFP) Board Membership
  • Investment Management Consultants Association (IMCA)

Certifications

  • Licenced International Securities Trader (IST) the West Coast
  • Certified Business Analysis Professional (CBAP)
  • SHRM Certified Professional (SHRM-CP)
  • Certified International Investment Analyst (CIIA)
  • FINRA Series 9/10 General Securities Sales Supervisor License
  • Certified Trade & Transaction Specialist (CTTS)
  • Licensing in Structured Products Salesforce
  • CompTIA A+ Technician
  • Derivatives Market Specialist Certification
  • Chartered Financial Analyst (CFA)

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