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Skills

  • Budgets
  • FINRA and SEC regulatory compliance
  • MS Office
  • Communications
  • Process improvement
  • Proficiency in trading platforms (Tableau)
  • Project organization
  • Relationship development
  • Problem resolution
  • Process improvement and streamlining workflows

Work Experiences

  • Automated a manual reporting process.
  • Achieved 43% engagement in 2021.
  • Managed the sales and purchases of securities on behalf of customers and businesses.
  • Analyzed client complaints.
  • Addressed regulatory changes.
  • Assisted in the resolution of 16 FINRA arbitrations without legal escalation, protecting company assets and reputation.
  • Assisted with Adobe Creative Suite investment accounts.
  • Looked for industry trends on social media and through online sources.
  • Delivered security certificates to customers on behalf of companies.
  • Calculated standard and system information to properly distribute customer funds.

Summaries

  • Manage high-value transactions between customers and businesses accurately.
  • Proven leadership, operational excellence, and organizational development skills, as well as a thorough understanding of the metric business.
  • Assisted clients in making strategic trades.
  • Brokerage professional with advanced skills.
  • Collaborated with cross-functional operational teams.
  • Achieved a 20% customer satisfaction score.
  • Consistently recognized for proactively resolving complex client issues, turning satisfaction ratings from 22% to 23%.
  • Achieved resolution without escalation.
  • Adhered to industry regulations.
  • Achieved a 71% reduction in approval times.

Accomplishments

  • Managed a portfolio of over 18 high-net-worth accounts, regularly exceeding client expectations regarding trade execution and portfolio performance.
  • Documented and resolved metric which led to framework.
  • Mentored junior representatives to improve product knowledge and brokerage service skills, raising team performance by 22%.
  • Used Microsoft Excel to develop inventory tracking spreadsheets.
  • Successfully resolved 11 client escalations related to trade discrepancies, reducing potential arbitration cases by 65%.
  • Automated standard operational tasks using Adobe Creative Suite, reducing workload by 80% for the client service team.
  • Supported the marketing team by developing and executing inbound/outbound communication strategies, leading to a 17% growth in the customer base.
  • Collaborated with the Compliance department to ensure all trades adhere to FINRA regulations, resulting in no regulatory violations over 6 months.
  • Decreased average response time to client inquiries by 15% by streamlining the brokerage service workflow using Asana.
  • Coordinated with cross-functional teams to ensure alignment with internal policies on new product implementation, contributing to a successful launch of HubSpot.

Affiliations

  • Professional Risk Managers' International Association (PRMIA), Associate
  • Association for Computing Machinery
  • Credit Professionals Industry Group, Member
  • American Marketing Association
  • National Society of Compliance Professionals (NSCP), Associate Member
  • International Council of Nurses
  • Association of Information Technology Professionals
  • Options Industry Council (OIC) Member
  • Jaycees
  • National Association for Fixed Annuities (NAFA) member

Certifications

  • Chartered Financial Consultant (ChFC®) - Meridian
  • Certified Regulatory and Compliance Professional (CRCP) - Brightline
  • FINRA Series 4 - Registered Options Principal 2020
  • Global Association of Risk Professionals (GARP) Financial Risk Manager (FRM) - procedure
  • Accredited Asset Management Specialist (AAMS) - Ironclad Systems
  • FINRA Series 66 - Uniform Combined State Law 2015
  • Certified Securities Operations Professional (CSOP) - Cedar Works
  • Fundamentals of Financial Accounting - Beacon Labs
  • FINRA Series 63 - Uniform Securities Agent State Law 2020
  • BlockChain and Cryptocurrency Trading Certification - Workday

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