Award-winning, personable financial industry leader with a stellar mix of analytical and people skills.

  Genuine passion for the financial industry, including being honored with seven Client Service Excellence awards during career at Edward Jones, as well as four offers of a Limited Partnership.

  Consistently promoted to positions of greater responsibility for exceeding performance objectives.

  Trading experience includes generating up to a 7% return, and trading various equities, mutual funds, securities and income investments.

  Experience providing valuable, hands-on research support of investments, including mutual funds, to financial advisors, managers and team leaders.

  Proficient with Windows and Apple operating systems; Microsoft Office; FoxPro; and Quattro Pro to analyze financial data and reports.

  Begun studying for Level I of the CFA.

Edward Jones St. Louis, MO 1997-Present

Global New Accounts Reconciliation Specialist (2006-Present)

  Communicate effectively with a variety of key stakeholders over the telephone, including financial advisors and leaders of the internal Operations Division and Service Division.

  Ensure new accounts adhere to company, U.S. Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) guidelines.

  Work closely with brokers located in the U.S., Canada and the United Kingdom via email to ensure new account information is accurate and complete.

  Place restrictions on accounts until necessary documents have been provided, and remove restrictions upon verification.

Achievements:

  Earned multiple Client Service Excellence awards, including in 2015, after being nominated by team leaders for exceptional performance.

Senior ACAT Operations Specialist (2001-2006)

  Demonstrated expertise of the Automated Customer Account Transfer (ACAT) System while transferring client accounts from outside brokerage firms.

  Served as a key liaison to inside and outside investment representatives and investment clearing houses for Automated Data Processing (ADP) and National Securities Clearing Corp. (NSCC).

  Built and maintained rapport with personnel at brokerages and mutual fund companies, as well as transfer agents, financial advisors and decision makers in the operations and service divisions at Edward Jones.

  Resolved complex transfer, trust agreement and database issues in a timely and efficient manner.

  Displayed attention to detail skills to process stock and closed-end mutual fund dividend reinvestments.

Achievements:

  Recognized with Client Service Excellence awards for consistently exceeding job objectives.

Edward Jones St. Louis, MO (continued) 1997-Present

Senior Mutual Fund Operations Specialist (1997-2001)

  Worked closely with mutual fund managers that oversee individual funds as well as managers of the ACAT Division of mutual fund companies.

  Communicated effectively with personnel at brokerage firms, financial advisors and leaders in the operations and service divisions at Edward Jones.

  Processed automated customer account transfers and estate accounts.

  Resolved transfer issues and automated reject items.

Achievements:

  Recognized with Client Service Excellence awards for stellar work performance.

Previously:

Administrative Sales Assistant, Smith Barney-Robinson Humphrey Memphis, TN 1996-1997

  Supported the sales team with preparing marketing presentations to prospective clients.

Master of Arts (MA), Finance, Webster University

Bachelor of Science (BS), Finance, with a minor in Psychology, University of Tennessee, Knoxville

Hold a Series 7 and 63 Securities Brokerage License

  Begun studying for Level I of the CFA.

  Completed Microsoft Excel I and II courses.

  Completed On-the-Job Career Coaching classes.

  Completed Dale Carnegie Public Speaking courses.

Sergeant at Arms/Emcee, Money Talks subject, Toastmasters International; past three years

Dear Hiring Manager:

I am currently seeking a challenging opportunity at your organization and am submitting my resume for your review. In advance, thank you for your time and consideration.

As demonstrated in the accompanying resume, I am an award-winning, personable financial industry leader with a stellar mix of analytical and people skills. I have a genuine passion for the financial industry, including being honored with seven Client Service Excellence awards during my career at Edward Jones, as well as four offers of a Limited Partnership. My trading experience includes generating up to a 7% return, and trading various equities, mutual funds, securities and income investments. Among my additional unique qualifications:

  Built and maintained rapport with personnel at brokerages and mutual fund companies, as well as transfer agents, financial advisors and decision makers across operations and service divisions.

  Worked closely with mutual fund managers that oversee individual funds as well as managers of the Automated Customer Account Transfer (ACAT) Division of mutual fund companies.

  Displayed attention to detail skills to process stock and closed-end mutual fund dividend reinvestments.

  Processed automated customer account transfers and estate accounts.

  Resolved transfer issues and automated reject items.

  Proficient with Windows and Apple operating systems; Microsoft Office; FoxPro; and Quattro Pro to analyze financial data and reports.

  Begun studying for Level I of the CFA.

As your leader, you will find me to be a team player committed to exceeding your performance expectations. I have no doubt that I would be a valuable asset to your operations, and look forward to interviewing with you in the near future.

Sincerely,

Yyyyyy x. yyyyyy

314-518-5424