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Yyyyyy x. yyyyyy        0000 xxxxxx xxxx , xxxx , xxxxx 00000

xxx-xxx-xxxx                                                                                   abc@xyz.com

 

Career Objective                                                                                            

Results-driven, quality-focused professional with extensive experience in the financial services industry, eager to contribute dynamic management, client servicing and problem solving skills toward actively supporting a progressive organization in optimizing operational and financial performance.

 

Profile                                                                                                              

Ø  Offer approximately 8 years progressive experience in the financial services industry, with comprehensive brokerage operations background.

Ø  Entrusted with achieving optimal utilization of human and financial resources through proactive workflow planning/coordination and account administration.

Ø  Effectively define, develop and implement targeted action plans to maximize operational productivity, efficiency and profitability.

Ø  Proactively train, develop and direct motivated teams and create a collaborative environment conducive to achieving high levels of employee retention and job satisfaction.

Ø  Proven value and dedication as a team member, as demonstrated by longevity and progression throughout career.

Ø  Exceptional ability to research and evaluate industry trends and use findings toward designing and executing innovative strategies to boost company leveraging.

Ø  Dynamic communication, presentation, relationship building and problem-solving abilities.

Ø  Excel at interacting with broad populations including senior management and staff as well as clients and external contractors.

 

Key Achievements                                                                                            

Ø  Received extensive praise from Stone & Youngberg Top Performing Producer for exceptional assistance booking all trades and reconciling all trade issues.

Ø  Invited back to Stone & Youngberg due to exceptional performance and to cover Senior Sales Assistant duties during her absence.

Ø  Proactively organized and developed a day-to-day operation manual for new hires without financial services experience; relied upon to lend expertise toward actively mentoring and motivating new hires at The Shemano Group, playing a solid role in supporting the development of top-performing team members.

Ø  Recruited for a temporary 3-month assignment at RBC, but asked to stay an additional 2 months due to exceptional service in handling timely account openings and transfers of assets for 900+ accounts, for a team of 7 partners and senior associates.

Ø  Successfully managed troubleshooting of trading discrepancies for the Capital Markets Dept. at Wells Fargo.

Ø  Relied upon as Key Player for Wells Fargo institutional operations department & trade support; became the Go To person for all trade execution issues before and after promotions.

 

Professional Experience                                                                               

Stone & Youngberg - San Francisco, CA                                                            2007, 2008-Present

Fixed Income Sales Assistant (Interim Assignment)

  As an integral member of senior sales team, contribute sharp business acumen toward supporting all aspects of daily operations.

  Proficiently prepare tax documents and information for clients and CPAs to meet the year-end tax filing deadline.  

  Acquire valuable understanding of fixed income securities while providing trade support for a team of 6 Retail/Institutional Bond Brokers, Senior Brokers and Junior Broker.

 

The Shemano Group - San Francisco, CA                                                                       2007-2008

Investment Assistant (Part Time)

  Contributed solid organizational skills in directly supporting the Senior Managing Director with establishing new client accounts and processing associated documentation, as well as transferring, maintaining and reconciling accounts.

 

 

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The Shemano Group - San Francisco, CA                                                                       2007-2008

Investment Assistant (Part Time)

-Continued-

  Applied industry expertise and strong communication abilities toward acting as first point of contact in responding to customer inquiries and troubleshooting problems.

  Conducted comprehensive review and analysis in order to prepare administrative reports and generate spreadsheets.

 

RBC Dain Rauscher - San Francisco, CA                                                                        2006-2007

Investment Assistant (Temp) 

  Maintained full accountability for the processing, review and timely transfer of client assets to RBC Dain Rauscher. 

  Liaised directly with money managers and previous custodians in effectively resolving trading discrepancies.

 

PiperJaffray - La Jolla, CA                                                                                             2006

Investment Assistant (Paid Internship)

  Demonstrated strong multitasking skills in supporting the Branch Manager and Financial Advisors with daily operations, with strong focus on optimizing productivity and efficiency.

  Effectively planned and coordinated financial planning materials for Financial Advisor s meetings, appointments and presentations.

  Spearheaded diverse activities ranging from new accounts and account transfers to client servicing and account problem resolutions.

 

Wells Fargo Securities - San Francisco, CA                                                                    1998-2002

Assistant Trader (2000-2002)

  Promoted to collaborate with Senior Listed Trader in handling buy/sell order flows, supporting daily operations and serving as back-up Listed Trader.

  Resourcefully compiled past trading data to create spreadsheets, effectively adding historical analysis to support senior traders strategies. 

  Ensured proper daily trade reconciliation with executing floor brokers and internal trade operations department.

Trade Settlements Specialist (1999-2000)

  Managed daily trade settlements with other broker dealer and trading room personnel, with responsibility for reconciling firm s trading inventory accounts on a daily basis.

  Closely monitored all trade related activities to ensure compliance with regulatory procedures, working closely with Risk Management.   

  Efficiently planned and coordinated workflow and trained Operations Specialists to optimize utilization of human capital and operational resources.

Institutional Operations Specialist / Wire Operator (1998-1999)

  Executed trades of 1000 shares or less for traders and registered sales representatives through AOM and BETA and administered all trade corrections upon request, illustrating solid industry knowledge and experience.

  Proficiently transferred and allocated large equity buy/sell orders, usually classified as "give-ups" or "step-outs . 

 

Education                                                                                                         

Bachelor of Arts, Economics - San Diego State University (San Diego, CA), 2005-2006

Transfer Studies - Southwestern College (Chula Vista, CA), 2003-2004

 

Technical Skills                                                                                              

Microsoft Applications: Outlook, Word, Excel, Access & PowerPoint.

Other Software: Quickbook, Adobe Photoshop, Jasc Paint, Windows Live.

Financial Applications: NYFX, Autex, Streetscape, NetExchange, Thompson Financial Brokerage Platform, Thompson One Planning Station, MorningStar, Beta, ILX, Brass Autex,  Bridge, Bloomberg, Oasys, Bondesk Syndicate.

 

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