Jessica Claire
Montgomery Street, San Francisco, CA 94105 (555) 432-1000,
Professional Summary

I'm an accomplished and results driven professional with 9 years of extensive experience in the financial industry. Recognized for my professionalism, commitment to excellence, and a demonstrated ability to forge strong relationships. Proven expertise in the following: brokerage, banking, finance, analysis, marketing and sales. Assets that I contribute to the team includes strong leadership, initiative-taking and fearless problem-solving skills.


• Securities Industry Essential Exam
• Series 7- General Securities Representative Exam
• Series 63-Uniform Securities Agent Exam

Work History
03/2017 to Current Trading Service Representative Wells Fargo | Garden Grove, CA,
  • Execute financial transactions and securities trading for 36,042 accounts with $552 billion assets under management in a fast pace deadline driven environment
  • Process shareholders tax harvest submissions
  • Responsible for of processing time sensitive daily reports and announcements to the team to prevent trade correction errors
  • Properly code personalized UMA accounts correctly using the BETA platform
  • Liaison between financial advisors and multiple operational departments to complete low to high risk requests
  • Exercise sound judgment in escalated problem-solving trading and troubleshooting situations to produce efficient outcomes
  • Resolve branches complaints through multiple communication channels before SLA's deadline and distribute completed alerts actions items to the branch
  • Consult with the advisory service desk, branch associates and multiple operational departments answering in-bound calls
  • Review time sensitive trading portfolio's, documents and analyses to evaluate for accuracy
  • Identified and resolved process issues to encourage smoother procedures, more efficient workflow and overall business growth.
  • Create and update policies and procedures to reduce exposure to risks for the company and clients
  • Bridge gaps in deficiencies to align with the key risk indicators
  • Leveraged knowledge of stock prices and trending changes to optimize collateral approaches.
  • Train and critique onboarding team members the team processes.
02/2016 to 01/2017 Securities Operation Service Specialist II Baylor Scott & White Health | Spicewood, TX,

•Facilitated alternative investment vehicles transfers and re-registrations amongst accounts and multiple broker dealers
•Processed, revised and submitted substantial critical documents to clients, fund companies, multiple operational departments and custodians to ensure that the transfers and re-registration were completed successfully meeting monthly and quarterly deadlines 98% of the time
•Responsible for having the trailer commissions paid to the Financial Advisors before monthly and quarterly deadlines
•Conducted monthly conference calls with business partners to review any logistical changes for the trailer commissions files to prevent any operational risks of the financial advisors not being paid before the deadlines
•Prepared high-level commission reports and chart trends monthly and quarterly to the Financial Advisors
•Identified gaps in deficiencies in the transfers/re-registrations and commission arena's to create a streamlined process in decreasing processing time by up to 20%-30%
•Successfully passed the compliance audit test by developing the policies and procedures for the transfers and re-registration process
•Prioritized, tested then supervised multiple requests to maintain necessary controls and procedures to ensure accuracy
•Reviewed colleagues controls to determine high moderate and low risks rankings
•Redesigned the training manuals for the trailer commission process for the new hires
•Supported all the inbound and outbound calls to the branches with inquires, complaints and escalations for the transfers and trailer commissions
•Launched an innovative web page for financial advisors to easily access the alternative investments transfer documents, commission schedules and vital upcoming announcement changes

07/2014 to 02/2016 Financial Advisor Bangor Savings Bank | Brewer, ME,

•Assisted credit union members and branch infrastructure daily in conducting financial transactions
•Developed client relationships by providing trusted advise on the credit union products and services in person and on calls
•Forecasted members account planning from a 1 to 2 year time horizon to properly to have them approved for loans in the future and made recommendations on how to improve their credit score
•Successfully balanced high cash and checks volumes in a time-conscious environment

•Completed special procedures for customers such as ordering new checks, stopping payments or investigating identity theft.
•Reconciled and balanced multiple general accounting ledgers for all the tellers
•Achieved monthly sales in referrals, quota's and loans bringing additional revenue into the credit union
•Boosted revenue for the credit union in developing promotional advertisements of the product and services
•Partnered with multiple Enterprise Rent-A-Car locations to accompany in the car selling process
•Lead multiple time sensitive projects amongst the different branches to introduce different ways to bring in additional revenue for the credit union
•Campaigned with the credit union members to bring awareness and revenue to the credit union outreach community services programs
•Ensured the projects were successfully delivered-on time, on budget and aligned with the Credit Union standards
•Supervised weekly audits on the tellers cash drawers to adhere banking procedures were being attested

08/2012 to 07/2014 Teller Vantage Credit Union | City, STATE,

•Assisted credit union members and branch support with banking transactions
•Properly managed credit union members banking accounts
•Effectively balanced highly accurate, high-volume money counts via both manual, machine-driven approaches and the bank vault daily
•Checked amount details and fraud markers for transaction papers such as checks and money orders
•Promoted products or services to each customer to consistently achieve sales targets
•Upheld strict financial controls by keeping funds secure and accurately transferring monies
•Trained onboarding tellers the job responsibilities, policies and procedures

Expected in Bachelor of Science | Business Administration University of Missouri - St Louis, St Louis, MO GPA:
  • Minored in Marketing
  • Recipient of Margaret Bush Wilson Scholarship
  • Recipient of Multicultural Relations Scholarship
Expected in Master of Business Administration | Lindenwood University, , GPA:

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Resume Overview

School Attended

  • University of Missouri - St Louis
  • Lindenwood University

Job Titles Held:

  • Trading Service Representative
  • Securities Operation Service Specialist II
  • Financial Advisor
  • Teller


  • Bachelor of Science
  • Master of Business Administration

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