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yyyyyy x. yyyyyy  

0000 xxxxxx xxxx , xxxx , xxxxx 00000




career objective                              


results-oriented, disciplined leader seeking to leverage extensive operations management, supervisory, and client service experience in support of corporate profitability and productivity objectives.




ø  consistently contribute to improved productivity, cost effectiveness, operational enhancement, and profitability through leadership, strategic planning strengths, and financial expertise.

ø  talented communicator with solid history developing new and improving existing lucrative, long-term business relationships.

ø  proven leader and team builder, with success in fostering true motivation, productivity, and cohesion from disparate parties.

ø  reputation for strong work ethic, exceptional commitment to customers, industry knowledge, approachability, and ability to get the job done by focusing on priority tasks, responding to sense of urgency, and tenacious dedication to results.

ø  technically savvy with expertise in microsoft office (word, excel, powerpoint, outlook, access), cliqbook, and concur; type 80 wpm.


core competencies:

strategic planning & initiatives

vendor & contract negotiations

relationship management

productivity improvement

staff development

documentation & presentations

budget administration

expense control

performance evaluations

project planning & analysis

policy & procedure development

needs assessments


career accomplishments                


ø  uncovered audit findings that resulted in disciplinary action against branch associates at wells fargo.

ø  issued specialized training for colleagues on merger company s computer system while maintaining consistent performance at wells fargo.

ø  implemented e-mail interaction system with financial advisors at wells fargo to enhance daily communications and workflow.

ø  captured more than $7k in overdue fees to financial consultants on behalf of smith barney by initiating accounts payable campaign.

ø  boosted smithy barney team morale by hosting employee appreciation lunches, team outings, and various holiday events.

ø  successfully saved smith barney from potential losses in lawsuits and fines after diligent supervision of employees uncovered associate s attempt to illegally process paperwork.

ø  constructed agenda and managed monthly support staff meetings to communicate new and reiterate existing smith barney policies.


professional experience                


wells fargo advisors-oakbrook & chicago, il                                                                           2005 to present

senior compliance examiner (2007 to present)

  execute annual examinations in firm market and complexes throughout assigned regions and review and research branch office activities to detect red-flag issues and ensure compliance with firm regulatory standards and procedures; report findings to management and escalate issues as necessary.

  maintain up-to-date knowledge base of finra and state regulatory issues as well as firm s supervisory policies and procedures.

  serve as technology coordinator for examination team and provide additional training and mentorship to team members on internal firm systems.


registered account administrator (2005 to 2007)

  ensured timely and accurate execution of all assigned trading transactions and maintained companywide standards for documentation.

  consulted with clients to review account statuses, resolve inquiries, and collection necessary information for transactions.

  served as backup support to management for approval of incoming and outgoing correspondence, disbursements, and deposits.


smith barney-chicago & northfield, il                                                                                2003 to 2005

group administrator, chicago (2005)

  managed structure and functions of three senior financial consultants and supporting staff and provided backup to sales associates.

  processed investment transactions and responded to customer requests for market quotes and information.

  organized marketing seminars for current and prospective clients.


senior assistant operations manager, chicago (2004 to 2005)

  communicated, implemented, and ensured compliance with firm operational guidelines and policies and assisted in audit preparation and execution of recommended procedures.

  coached and educated employees on operational policies and procedures within firm s platform.


control administrator, chicago (2003 to 2004)

  enforced rules and procedures based on nyse and nasd regulations and proactively delivered compliance training to financial consultants and staff.

  periodically reviewed firm-generated reports to identify red-flag trading practices.

  complied with all established firm and industry standards while assisting with resolution of client complaints and inquiries; liaised with firm lawyers and legal department to gauge appropriate reactions to special client requests.


education & credentials                


loyola university of chicago-chicago, il

bachelor of science in criminal justice



series 7 general securities representative examination

series 63 uniform securities agent state law examination

series 9/10 general securities sales supervisor qualification examination-options & general securities

series 66 uniform combined state law examination



charity participant, 2004 chicago marathon on behalf of the arthritis foundation

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