Highly accomplished professional with extensive experience in the financial and investment industry. Proven ability to create results in a fast paced environment. Conscientious leader demonstrating the ability to achieve high expectations of productivity in a changing and challenging work environment.
Responsible for the daily oversight and management of all operational processing within a $90MM annual revenue complex. Integral member of the management team that aided in leading the Mid-Ohio Complex by offering exceptional service to clients as well as colleagues. Led a skilled team of investment associates to achieve an exceptional reputation of efficiency in the processing of financial and investment transactions.
Responsible for compliance policies and education of 17 retail branches within the Southern Ohio Market. Accountable for audit preparation and compliance supervision of Financial Advisors, Sales Associates, and client accounts. Performed routine regulatory, compliance, and operational reviews within the market to be sure control requirements were adhered to within each branch.
Responsible for the oversight and approval of all operational service requests for the Southern Ohio Market. This entailed covering order errors and trade corrections, approving check, ACH, fed wire, journal, IRA distribution/contribution, account updates, stock certificate processing, etc.
Worked in conjunction with branch Financial Advisors in identifying and acquiring new clients as well as maintaining existing accounts. Handled client account inquiries and financial transaction requests.
Minors: Business and Communications
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