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Yyyyyy x. yyyyyy

1 Peck Ave 17B, Rye, New York 110580 xxx-xxx-xxxx


Profile of Qualifications


  • Driven Leader with 15+ years of experience optimizing efficiency throughout daily operations.
  • Proven track record of building and leading highly productive teams.
  • Demonstrated ability to adhere to regulations and policies while ensuring utmost quality.
  • Dynamic interpersonal communication skills, key to fostering positive, lasting client relationships.


Key Areas of Expertise



   Quality Assurance

   Operations Management

   Process Improvement

   Client Relationship Management

   MS Office Suite


Professional Synopsis


Laidlaw & Company U.K. Ltd, New York, NY 2007-2016

Assistant Branch Manager / Operations Associate, New York, NY (2015-2016)

  • Fulfilled key leadership position, aiding Branch Manager with oversight of all day to day operations.
  • Demonstrated top notch coaching abilities while providing mentorship and monitoring performance for Financial Advisors and Sales Assistants.
  • Leveraged excellent communication abilities while interfacing with customers, brokers and employees.
  • Maintained adherence to all company and federal regulations.
  • Utilized strong knowledge of branch services, including accounts, transfers, check requests and wires, to efficiently complete day to day processes.
  • Implemented successful strategies to continually meet and exceeded existing goals.

Branch Manager / Registered Sales Assistant, Stamford, CT (2010-2015)

  • Developed and deployed highly effective training initiatives for newly hired employees.
  • Ensured regulatory compliance throughout all day to day operations while simultaneously minimizing risk.
  • Thoroughly reviewed all correspondence and account information to ensure quality control.
  • Demonstrated strong knowledge of new account management, margin agreements, securities, cancel/rebills and subscription agreements.

Assistant Branch Manager / Registered Sales Assistant, Stamford, CT (2009-2010)

  • Implemented and followed all firm and federal policies and regulations throughout all account operations.

Registered Sales Assistant, New York, NY (2008-2009)

  • Leveraged strong interpersonal skills to successfully establish positive customer relationships, resolve inquiries and ensure overall satisfaction.
  • Responsibilities included account management, transferring funds, document processing and upselling branch services.

Financial Consultant, New York, NY (2007-2008)

  • Utilized various cold calling and networking tactics to establish relationships with prospective customers.
  • Evaluated client eligibility based on multiple factors, including income, expenses and risk.


Previous Positions:

Jake s Painting, Orlando, FL, Office Manager / Painter 2000-2007

Aeropostale, Danbury, CT, Assistant Manager 1999

Nejame and Sons, Danbury, CT, Swimming Pool Installer 1999

Strawberries Music, Danbury, CT, Sales Associate 1998-1999

United States Navy, New Orleans, LA; Air Traffic Controller 1996-1998

Education & Professional Development


FINRA Seriers 7, 63 and 24 Licenses

Business Management Coursework Completed, DeVry University, Orlando, FL

Business Administration Coursework Completed, Valencia College, Orlando, FL

Air Traffic Control School, US Navy, Pensacola, FL

Harrison Fire Department Volunteer, Harrison, NY

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