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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000


xxx-xxx-xxxx /



Financial / Business Development Professional

Management Reporting & Analytics ~ Brokerage Operations~ Client Services

Performance-driven Brokerage Operations Specialist eager to contribute industry expertise as well as dynamic team building/leadership, client servicing/management and administrative skills toward supporting operations of a progressive organization.


Qualifications Profile


Strong financial background with the ability to work independently on multiple projects simultaneously, with specialized knowledge of staff development and training, various financial products, sales methodologies, brokerage operations, supervision and leadership, strategic partnerships, client services management, problem solving and resolution, communication protocols, and regulatory compliance.

Comprehensive understanding of the default and mitigation arena due to advanced education and training regarding information technology and project development.

Effectively lead top-performing teams.

Excel in defining and implementing policies, procedures and operational systems that boost productivity, efficiency and quality of operations.

Competent leader and mentor who is able to create a team environment, including building collaborative relationships, training peers to perform at maximum efficiency, and the capacity to form cross-functional coalitions in order to ensure knowledge is shared across departmental lines.

Consistently focus on ensuring development of high-standard financial protocols. 

Proven ability to adapt strong process knowledge and technical skills to diverse organization needs.

Technology savvy and proficient in multiple software applications and hardware systems. 




Functional Competencies


Demonstrate dynamic leadership qualities and strong communication skills in successfully steering financial planning meetings and delivering comprehensive strategies.

Contribute dynamic research and analysis skills toward efficiently reconciling high volumes of data to ensure critical compliance with internal corporate standards.

Capable of in-depth research and data analysis with the purpose of improving efficiency best practices and productivity. 

Skilled at devising and implementing economic forecasting programs as well as utilizing extensive knowledge of economic climate to benefit the organization.

Embrace company initiatives and lead process integration efforts throughout various departments.

Develop and implement numerous protocols and policies with the purpose of identifying and resolving relevant issues in a proactive manner. 

Use knowledge of markets to effectively introduce products and services.

Optimize business performance by effectively training new associates in company practices, policies and procedures.

Increase revenue streams by establishing market wide policies and procedures related to data analysis. 

Strategically diversify revenue streams and grows sales by expanding primary service lines into new markets.

Skilled at managing multiple projects and leading teams in cross-functional, concerted efforts to increase company-wide revenues.

Design and execute business development opportunities through relevant market research as well as organizational collaborations.







Key Achievements


Ø  Entrusted with the exclusive responsibilities as syndicate coordinator for entire branch office of 96 advisors. (Smith Barney)

Ø  Developed and implemented new hire training manual that is currently distributed and used for all new employees. (Smith Barney)

Ø  Recommended into Mid Level Management Program by senior branch office managers. (Smith Barney)

Ø  Successfully coordinated the opening of new retail bank branch. (JP Morgan)

Ø  Executed strategic business plan that led to the securing of nearly $1 million in new deposits over a six-month period. (JP Morgan)

Ø  Facilitated the acquisition of new clients through corporate alliances, resulting in increased managed assets by over $15 million. (American Express)

Ø  Created strategic plan that increased productivity and advisor earnings of more than 30% through ongoing fee based planning relationships with clients. (American Express)

Ø  Created financial strategies and investment recommendations that improved production by more than 20% in one year. (American Express)

Ø  Engineered new client service modules leading to new business and corporate financial education opportunities. (American Express)

Ø  Recipient of the President s Recognition Award for delivering exceptional advice and service to clients. (American Express)



Professional Career Track


Smith Barney, Registered Client Service Associate                                                                                    2006-2008

  Main responsibilities included development and execution of various financial planning strategies;

  Conducted regular on-site service visits;

  Development of internal relationships within various departmental resources;

  Comprehensive management of loan services, project planning, reporting, and analyses;

  General financial research relevant to federal and state policies and guidelines;

  Completed daily administrative and back office operations for clients and advisors, and provided them with superior support, including quote inquiries, disbursement requests, ACAT and wire transfers, banking services, stock and options transactions, and problem resolution;

  Managed new issue and secondary issue market offerings through company equity and fixed income syndicate program;

  Trained new associates related to business practices, policies and procedures.


JP Morgan Chase Bank, Assistant Vice President/Branch Manager                                                        2004-2005

  Main responsibilities included effective oversight of daily operations related to branch while simultaneously developing new business relationships;

  Ensuring company standards were consistently met;

  Preparation of billing statements and other reporting mechanisms as needed;

  Policy research and compliance;

  Customer service protocols designed to increase loyalty and retention.   


American Express Financial Advisors, Branch Manager Assistant/Associate Financial Advisor       1999-2004

  Main responsibilities included administrative support, client services, as well as enforcement of corporate compliance related to 37 company advisors. 


Earlier Experience


- American Express Financial Advisors, Senior Planning Associate       


- American Express Financial Advisors, Business System Administrator       


- American Express Financial Advisors, Financial Advisor       



Education & Training Credentials


n MBA (Pending), University of Phoenix

n Bachelor of Science- Accounting, Butler University

n FINRA SERIES 7   General Securities Registered Representative

n FINRA SERIES 9/10   General Securities and Options Sales Supervisor

n FINRA SERIES 63 & 66 Combined Uniform State Law Exams

n CFS®  Certified Fund Specialist® Designation

n Illinois Life & Health and Variable Annuity Insurance

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