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Skills

  • Metric equipment
  • Process optimization
  • Hedge Strategy Monitoring
  • Market trend analysis
  • Risk mitigation
  • Financial Compliance Auditing
  • Client portfolio management
  • Business operations
  • Reporting Lag Reduction
  • Equity & Bond Trading

Work Experiences

  • Delivered security certificates to customers on behalf of companies.
  • Complied with Raleigh regulations.
  • Conducted comprehensive checks to maintain an organized ledger of client investments, ensuring full compliance under Lean guidelines.
  • Achieved compliance improvements over 2023.
  • Assisted with wealth management for high-net-worth clients.
  • Analyzed historical trading data for potential forecast trends, increasing the department’s forecasting accuracy by 19%.
  • Collaborated with research teams.
  • Had an excellent attendance record and was always on time for work.
  • Transported QuickBooks to two years customer locations.
  • Collaborated with brokers to analyze equity market trends.

Summaries

  • Actively involved in interdepartmental communication.
  • Excellent customer service, problem-solving, and multitasking skills aimed at ensuring compliance, maximizing satisfaction, and quickly resolving issues.
  • Achieved Lean.
  • Costs were consistently reduced while profits were increased.
  • Within Miscellaneous, senior Stockbroker Assistant and outstanding performer in project management and process improvement.
  • Offering 10 years of Stockbroker Assistant experience and a strong desire to use team leadership and process improvement abilities to positively impact business success.
  • Analytical professional with proven success in turning historical trading data into actionable portfolio improvement strategies, raising the company's forecasting accuracy by 65%.
  • As a proactive assistant, effectively managed trade blotter reviews and reporting processes, streamlining auditing protocols and receiving Six Sigma in compliance management.
  • Achieved this reduction over 4 months.
  • Achieved 67% accuracy.

Accomplishments

  • Reduced broker workload by creating a consolidated monthly reporting dashboard, cutting administrative time by initiative per week.
  • Set up and optimized internal workflows with CRM software, resulting in a 76% improvement in managing client touchpoints and communication logs.
  • Worked directly with clients to schedule and confirm trades during high market volatility periods, ensuring compliance with all relevant trading regulations.
  • Drove a customer-first mindset by managing regular check-ins and follow-ups with clients, increasing the retention rate of high-net-worth individuals by 81%.
  • Leveraged advanced financial software to analyze client financials, offering tailored investment recommendations that led to a 71% expansion in managed assets.
  • Utilized Excel and portfolio management software to track asset allocations, ensuring portfolios were rebalanced based on changing market conditions.
  • Reduced data entry inefficiencies by implementing automated transaction tracking systems and enhancing reporting accuracy by 83%.
  • Assisted brokers in crafting client investment proposals, integrating historical performance data to boost proposal acceptance by 25%.
  • Collaborated with Portfolio Managers to update and optimize client portfolios, achieving a 54% increase in quarterly portfolio performance.
  • Supported Stockbroker in managing 10 high-net-worth accounts, ensuring timely trade settlements and maintaining compliance with financial regulations.

Affiliations

  • Security Traders Association (STA) Austin Chapter Member
  • Society of Human Resource Management
  • Toastmasters
  • American Marketing Association
  • Chartered Institute for Securities & Investment (CISI) Member 2020
  • Business Continuity Institute (BCI) – Risk Management Affiliate
  • Society of Women Engineers
  • Society for Financial Professionals (SFP) – Stock Trade Operational Excellence 2020
  • Association for Supply Chain Management (APICS)
  • American Society of Safety Professionals

Certifications

  • Certified Treasury Professional (CTP)
  • Blue Sky Law Compliance Certification (NFA)
  • Charted Market Technician (CMT)
  • Regulatory Compliance Specialist Certification (RCSC)
  • Google Certified Professional Cloud Architect
  • Corporate Securities Certificate (Cornell)
  • SHRM Senior Certified Professional (SHRM-SCP)
  • International Certificate in Financial Advice (ICFA)
  • Certified Public Accountant
  • Certified Financial Planner (CFP)

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