Supervisory Principal Resume Example
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Jessica Claire
, , 100 Montgomery St. 10th Floor
(555) 432-1000 - - resumesample@example.com - -
(555) 432-1000 - - resumesample@example.com - -
Summary
Adept at managing concurrent objectives to promote efficiency and influence positive outcomes. Knowledgeable about financial service practices and regulations. Attentive and exacting with demonstrated success in handling regulatory needs for diverse products. Systematic and practical with sound judgment, an analytical mindset and good problem-solving skills.
Skills
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Experience
05/2017 to 12/2020
Supervisory Principal Lpl Financial Services – Muscle Shoals, AL,
- Executed comprehensive reviews of securities and insurance recommendations made by registered representatives of TIAA Individual & Institutional Services LLC., according to the regulatory requirements of SEC, FINRA, ERISA, and state insurance regulations.
- Partnership with regional Branch Supervision Administrators to better facilitate required documentation for suitable advisory recommendations.
- Identification of concerns and weaknesses related to existing process and controls.
- Email Review of outside business activities, customer complaints, private securities transactions, potential U4 or insurance reportable disclosures, and ethical violations.
- Developed and implemented standards for Supervisory Principals through Job Aids and training materials for suitability review of third-party insurance products.
- Piloted TIAA sales software for ease of use, proper suitability verbiage, correct cascade of functions to facilitate suitability documentation.
- Monitored regulatory change required by new and revised laws and regulations, communicating complex protocols and determining operational impacts.
- Answered internal consumer inquiries with friendly and knowledgeable support.
- Recognized by management for providing exceptional efficiency, quality and productivity.
05/2013 to 04/2017
Business Management Consultant Atos – Dearborn, MI,
- Business administration and strategic planning of goals and key deliverables for multiple business planning projects that directly impacted and reinforced a culture of continuous improvement and employee empowerment.
- Spearheaded the development, implementation, and management of the Individual Advisory Services (IAS) audit program.
- Functioned as the principal auditor, subject matter expert, and author/editor of IAS Standard Operating Procedures.
- Liaised with senior management to ensure ongoing quality assurance program integrity.
- Performance optimization coach and subject matter expert for Client Relationship Consultants (CRC).
- Expert knowledge of CRC metrics, annual scorecard, audit procedures, CRC Peer development.
- Produced, developed, and managed Individual Advisory Services communication(s).
- Lead architect of the Shared Voice Channel. Corporate wide recognition from Chief Executive Officer.
- Liaised between senior management and CRC teams to orchestrate smooth application of new operational policies and procedures.
- Developed and maintained successful relationships with internal business partners.
05/2008 to 05/2013
Client Relationship Specialist Charles Schwab Corporation – Wayne, PA,
- Primary sales and service point of contact for affluent and high net worth clients of partner Wealth Management Advisors.
- Managed multiple books of business and point of contact for 2500 affluent clients.
- Contacted and engaged with internal and external clients to build relationships and secure new accounts.
- Provided exemplary level of service to customers to extend relationships for future business opportunities.
- Earned CRC Star Reward for exemplary customer service and leadership.
- Able to quickly adapt and assimilate facts into compelling recommendations, along with the ability to explain simple and complex Wealth Management topics with clarity, verbally and in writing.
- Proactive growth and retention of assets while building and maintaining client relationships.
- Responsible for the strategic planning, performance review and new business meetings for partner Wealth Management Advisors and senior leadership.
- Trained new employees on procedures and policies to maximize team performance.
- De-escalated problematic customer concerns, maintaining calm, friendly demeanor.
- Completed diverse tasks on daily basis to serve customer needs, including advice and planning discussions, retirement plan enrollment, transfers/exchanges, contributions, general account service.
- Handled client inquiries with exceptional professionalism and enthusiasm.
- Broad financial services and sales experience with defined contribution/defined benefit plans (401k, 403b, 401a, 457b, IRA), mutual funds, brokerage, and managed accounts.
Education and Training
Expected in
Bachelor of Arts: Anthropology/Chemistry
Metropolitan State University - Denver, CO,
Metropolitan State University - Denver, CO,
References
References available upon request.
Additional Information
Volunteer TeamUp Jeffco. The mission of TeamUp Jeffco is to provide Jeffco middle school students with support or crucial skill recovery in light of academic setbacks exacerbated by COVID-19.
Soccer Shots Coach. Engaging children's soccer program with a focus on character development for ages 2-8.
Certifications
FINRA Series 7, 63, 65 and 24
Colorado Insurance Producer
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Resume Overview
School Attended
- Metropolitan State University
Job Titles Held:
- Supervisory Principal
- Business Management Consultant
- Client Relationship Specialist
Degrees
- Bachelor of Arts