results-focused team player with expertise in compliance management, client relations, and business development / marketing within the finance / investment industry eager to contribute to the success of a progressive organization.
offer over 8 years of progressive, cross-functional compliance management, strategic analysis, and client relations experience to include success within key forecasting, expense control, and training / development capacities.
solid supportive data analysis and quantitative abilities; exhibits sharp attention-to-detail and strong problem-solving proficiencies.
expert at multitasking within deadline-driven environments and strategically prioritizing and coordinating workflow to maximize productivity.
holds finra investment licenses series 7 and 66; attained certified financial manager designation.
~ key professional accomplishments ~
~ successfully passed nasd / finra series 7 and 66 licenses within 1st year of tenure ~
~ recipient of the client associate circle of excellence award for top 10% complex ranking ~
~ achieved team-driven complex of the year award for 2003 ranked 1st out of 125 complexes ~
apply dynamic analytical abilities toward monitoring and identifying compliance issues and business expenses to include effectively performing routine office visits throughout a competitive southern california territory.
optimize solutions-focused growth efforts by monitoring the firm s client service levels, sales, revenue, and profitability, along with strategically developing and implanting targeted initiatives to boost operational performance.
expertly manage and forecast business discretionary expenses to reduce costs and engage in creating efficient financial processes.
lead seamless recruit transitions for client assets, as well as collaborate with associates to drive all expense and business functions.
strategically steered comprehensive business and compliance activities while concurrently maintaining exceptional levels of customer service and quality standards for high-net worth clientele to optimize retention rates.
utilized broad scope of industry knowledge to facilitate daily client contact / follow-up, trading activity, cost basis analysis, journal entry transactions, federal fund requests, and account management.
demonstrated solid interpersonal relations skills instrumental in meeting with clientele to ascertain individualized financial needs, improve communication measures, and encourage useful customer feedback.
directed business and compliance activities to include ensuring consistent adherence with firm and regulatory policies / procedures.
identified key areas of risk and provided prompt and accurate solutions for elimination of future financial challenges.
maximized ethical business practices by monitoring daily trading activity, client correspondence, equity / mutual funds, licensing, risk tolerance levels, and margin, along with tracking mandated corporate training / development efforts for all employees.
spearheaded cost-effective management of business discretionary expenses while providing essential budgetary guidance.
trained incoming personnel on compliance and business policies to guarantee consistency among financial operations.
education and academic affiliations
master of business administration (marketing management emphasis 4.0 gpa) university of dallas
bachelor of science in business administration (finance emphasis 3.3 gpa) california state university, long beach
who s who among college students (2008) • sigma iota epsilon honorary management society • financial management association
team captain susan g. komen breast cancer foundation (2006-present)
bright lights club member / team captain leukemia lymphoma society (2002-present)
hiring agent name
i am currently seeking a challenging and rewarding [ insert job title ] role, and am submitting my resume for your review.
as a certified financial manager, i am eager to offer over 8 years of progressive, cross-functional compliance management, strategic analysis, and client relations experience, along with proven forecasting, expense control, and training / development talents, toward maximizing your company s success. i can demonstrate solid supportive data analysis and quantitative abilities, and am an expert at multitasking within deadline-driven environments while concurrently prioritizing and coordinating workflow to optimize productivity.
to compliment my professional background and the attainment of your goals, please note that i hold an m.b.a. (marketing management emphasis 4.0 gpa) from the university of dallas and a b.s. in business administration (finance emphasis 3.3 gpa) from california state university, long beach. i am also licensed in finra investment series 7 and 66.
currently, as a business associate with merrill lynch / bank of america, i apply my dynamic analytical abilities toward monitoring and identifying compliance issues and business expenses to include effectively performing routine office visits throughout a competitive southern california territory. within this role, i also optimize solutions-focused growth efforts by monitoring the firm s client service levels, sales, revenue, and profitability, along with strategically developing and implanting targeted initiatives to boost operational performance.
during my employment tenure, i have received a prestigious client associate circle of excellence award for achieving a top 10% complex rating. i was also instrumental in attaining a team-driven complex of the year award in 2003 to include ranking 1st out of 125 corporate complexes. as this is just a sampling of my experience, please kindly refer to my enclosed resume for a comprehensive account of my professional history.
you will find me to be an enthusiastic leader who exhibits sharp attention-to-detail and strong problem-solving proficiencies. for the sum of these aforementioned reasons, i believe i will prove to be an incredible asset to your company.
i look forward to hearing from you in order to discuss an available opportunity for which i am qualified. i may be reached as indicated, and thank you in advance for your time and consideration.
yyyyyy x. yyyyyy
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