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- Dynamic Leader who offers a background in Financxxxxxxl Operations, Client Needs Analysis / Assessment, Strategic Goal Planning, Trends Tracking, and Customer Service; contributes talent in Executive Administrative / Business Support, Audit Processes, Team Building / Training, Payroll, and Regulatory Complxxxxxxnce; and exhibits an ability to see the big picture at all times in evolving markets.
- Top Performer who can make decisions to reflect positively on clients financxxxxxxl goals and / or business operations in alignment with targeted objectives to attain a significant competitive advantage.
- Excellent Communicator who builds and sustains synergistic relationships with senior-level management, business / financxxxxxxl professionals, regulatory agencies, and clients / customers; who excels in autonomous and collaborative work environments; and who leads staff with integrity.
Capitalize on the opportunity to lead forward-thinking administrative operations as a direct report to the President of this $30-million Foundation providing scholarships to underprivileged kids.
Handle all initxxxxxxl requests as the go-to point-of-contact, sit in on meetings, and prepare Foundation minutes, and further correspond with 140+ scholar recipients and charities receiving donations.
Registered Operations Manager
Strategically steer review and approval of operations requests for thousands of clients and $1+ billion in assets, including serving as the point-of-contact for all trades / reporting / client inquiries.
Lead targeted training / development of new employees, plan work tasks, and manage performance.
Expertly use RX SmartStation and Bloomberg to facilitate comprehensive trading and account review.
Proactively assist Complxxxxxxnce Officer with FINRA requests and / or audits, along with SEC, State of Xxxxxx, and annual Internal Financxxxxxxl Reporting efforts which are instrumental in ensuring complxxxxxxnce.
Assistant Vice President ￨ Registered Administrative Office Manager
Played a vital role in supporting 3 Financxxxxxxl Advisors, CFA / Money Manager, and Branch Manager in all production initxxxxxxtives, including prioritizing workflow to maximize key business performance.
Drove business growth by recruiting, training, mentoring, and managing a results-focused team of 3 assistants, including assisting with career development and objective staff performance reviews.
Built productive relationships with clients by showcasing services excellence, along with developing relationships with Financxxxxxxl Advisors to ensure consistent regulatory complxxxxxxnce by staff.
Extensive Undergraduate Business Studies
Business Writing ￨ Business Law ￨ Accounting ￨ Ethics ￨ Microeconomics ￨ Macroeconomics
Series 66 Registered Agent & Investment Advisor ￨ Series 63 Uniform Securities Agent State Law Exam
Series 55 Equity Trader Limited Representative ￨ Series 53 Municipal Securities Principal
Series 24 General Securities Principal ￨ Series 8, 9, 10 General Securities Sales Supervisor
Series 7 General Securities Registered Representative
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