Resume Writing ?
The Following Text Is An Unformatted Professional Resume Sample
From The Writers At The Resume Writing Group, Inc.
This Resume Has Not Been Formatted
ORDER YOUR OWN LETTER-PERFECT, JOB-WINNING RESUME AND IT WILL BE COMPLETED AS SOON AS YOU NEED!
Click HERE!
Summary of Qualifications
Award-winning industry professional with a consistent, proven track record of exceeding performance goals.
Earned the 1 in 100 Award in Mar. 2016 for stellar performance, and have also been honored as Employee of the Year in 2012 and with the Superior Service Award for exceptional leadership and results-achieved.
Outstanding background ensuring FINRA compliance, as well as with state regulatory agencies.
Stellar time management, attention to detail and organizational skills, including prioritizing tasks.
Professional Experience
Team Lead-Registration Specialist, First Allied Securities Apr. 2011-Present
Exceed performance objectives in the Department of Licensing and Registration.
Work closely with recruiters, supervisory personnel and the compliance and transition teams.
Collaborate with coordinators and personnel in the operations and IT departments to ensure a smooth transition for new financial advisors joining the firm.
Support recruiters with the pre-approval and approval process to onboard new candidates.
Register candidates with First Allied Securities and First Allied Advisory Services (FINRA filings).
Help employees with securing securities licenses, from pre-approval forms to background checks and ordering study material to opening exam windows and completing and registering for licenses.
Work with personnel in the human resources department to secure background check reports for the pre-hire approval process, including credit and felony checks; public record search; and CRD snapshot from FINRA.
Ensure compliance with FINRA and other laws pertaining to state registrations and outside business activities and financial disclosures.
Communicate with FINRA and state securities regulators to resolve registration issues on behalf of candidates.
Establish and update advisor profiles in the NETX360 Pershing platform for client statements.
Achievements:
Earned the 1 in 100 Award in Mar. 2016 for stellar performance.
Honored as Employee of the Year in 2012 and Employee of the Month on two separate occasions.
Recognized with the Superior Service Award in 2011.
Education
Bachelor of Science (BS), Communication Science and Disorders, Hearing Impaired; earned 1996
Southwest Missouri State University
Licenses
Series 66, Investment Advisory Representative
Series 7,
General Securities Representative
Series 24, General Securities Principal
Volunteer Work
Run marathons to raise money for Autism Speaks and The Fisher House
Member, National Student Speech Language Hearing Association (NSSHLA)
<< Previous Back to Sitemap Next >>
Remember: Hire Us To Write YOUR New Resume
And We GUARANTEE That If You’re Not Working In 60 Days Or Less,
We’ll Revise Your Resume, Refund Your Money,
AND Give You $50 EXTRA!
