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yyyyyy x. yyyyyy                                 

0000 xxxxxx xxxx , xxxx , xxxxx 00000

(xxx-xxx-xxxx

abc@xyz.com                      

 

career objective                              

proficient, detail-oriented operations and administration manager exploring opportunity to contribute trading and financial service expertise toward supporting operations of a progressive organization seeking a driven and productive team member

 

profile                                                

ø  offer numerous years of progressive experience in trading and financial services, with expertise in compliance training and enforcement

ø  excel at operational management in high pressure, deadline driven environments; effectively schedule staff

ø  facilitate client-focused, service-oriented environment vital to maximizing customer satisfaction and retention; identify and resolve client and internal issues

ø  dynamic communication, organization, and time management skills

ø  proactive team player equally effective in independent and collaborative environments

ø  experience with multiple clearing firms including ubs, smith barney, pershing, rbc dain, southwest securities, and national financial services

ø  hold series 7, 9, 10, 24, 63; series 65 window open

 

~ technological proficiencies ~

ms word ~ ms excel ~ morningstar ~ bloomberg ~ reuters ~ junxure ~ winops ~ bondtrader pro ~ windows and mac operating systems

 

professional experience                

operations manager, kalos capital, inc., alpharetta, ga                                                            2/06 c present

  • successfully steer all aspects of back office management, including human resources functions, office administration, website maintenance, and monthly reconciliations for this expanding national independent broker dealer
  • responsible for approvals on new accounts and order tickets; effectively handled clearing firm conversion
  • actively train rep network and staff on all systems, procedures, and compliance; collaborated on organization and presentation for aml and compliance at annual conference

         strategically plan and coordinate workflow and departmental staff for optimal coverage; supervise employee performance

         mediate broker conflicts; address and resolve customer escalations

 

registered sales assistant, bergen capital, inc., alpharetta, ga                                                1/05 c 2/06

         responsible for comprehensive management and maintenance of more than 200 brokerage accounts; utilized order entry systems to purchase client stock

         provided support for and facilitated communication between high net worth clients, financial institutions, and firm consultants and executives

         supplied high profile investors with accurate market data and research

 

administrative manager, the gms group, atlanta, ga                                                              11/01 c 1/05

         proficiently handled all administrative operations for a boutique regional brokerage; supported up to 11 financial consultants simultaneously

         worked closely with a diverse base of accounts

         established standard operating procedures regarding compliance policies


yyyyyy x. yyyyyy                                 

0000 xxxxxx xxxx , xxxx , xxxxx 00000

(xxx-xxx-xxxx

abc@xyz.com                      

 

---

 

date

 

 

 

hiring agent name

title

company name

address

city/state/zip code

 

dear__________________:

 

i am currently in the process of relocating to the miami area on a permanent basis and seeking a challenging career opportunity in a insert job title capacity and am submitting my resume for your review.  in advance, thank you for your time and consideration.

 

as demonstrated in the accompanying resume, my professional qualifications include extensive experience performing a broad range of responsibilities within the trading and financial services industry.  i excel at managing internal operations as well as providing outstanding customer service.  i thrive under pressure and am adept at diffusing customer and broker escalations.  my superior communication skills along with my depth of knowledge in the industry have consistently enabled me to cultivate solid client relations.  to complement this background, i hold series 7, 9, 10, 24, and 63 licenses.  

 

as an employee, you will find me to be a driven team player committed to supporting you in achieving your objectives through superior performance.  i am confident that i could be a valuable asset to your firm, and look forward to interviewing with you in the near future.

 

sincerely,

 

 

 

yyyyyy x. yyyyyy

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