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 and work with senior management, team members and different levels of hierarchies within an organization. Proven expertise in the following: brokerage, finance, accounting, management, marketing, statistics, technical writing and project management. 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
•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
•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
•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.
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