Results-driven Executive eager to contribute expertise in driving Operations, Business Development, P&L, and Team Building initiatives toward actively collaborating with a dynamic organization in maximizing bottom-line performance.
Possess Series 7,63, 65, 8, 23, 24, and 31 licensure as well as Life & Health.
Excellent communication skills, multi-tasking capabilities, attention to detail, and solutions-minded work approach.
Systematic problem solver with a solid track record of executing innovative solutions to meet defined business goals and needs.
Efficiently develop and execute strategic policies, procedures, and processes to optimize organizational performance, profitability, and client satisfaction.
Confident, congenial and tactical with outstanding analytical, leadership, and interpersonal skills.
Recognized as a New Jersey Notary Public.
Computer skills include Microsoft Office (Word, Excel, PowerPoint, and Outlook).
Citi Smith Barney, Paramus, NJ, 2006 to 2009
Assistant Vice President C Wealth Management
Spearheaded human resources functions spanning interviewing, hiring, orientation, training, coaching, performance appraisals, disciplinary actions, termination and compensation for 20 support staff.
Applied dynamic leadership talents toward delegating tasks to Client Service Associates, supervising work performance, and overseeing benefits administration, attendance, and vacation time.
Partnered with Branch Manager to recruit new financial advisors, participated in preparing annual budget, and assisted in supervising compliance including legal surveillance reports.
Directed daily administrative operations for branch encompassing accounts payable, payroll, registration and licensing, office maintenance, security, and rent payments.
Leveraged excellent technical acumen toward overseeing systems administration such as telecommunications/computer moves, adds, changes and deletions.
UBS Financial Services, Edison and Weehawken, NJ, 2002 to 2006
Associate Director C Private Wealth Management
Promoted to assume additional responsibilities based on exceptional performance.
Exhibited proficiency in risk management, legal and regulatory compliance, branch P&L, and new client account administration.
Professional Experience continued Yyyyyy x. yyyyyy ~ Page 2 of 2
Diligently reviewed, approved, and processed funds received and disbursed.
Played an integral role in all compliance exams, successfully passing internal and external audits.
Exercised strong communication skills to conduct client calls and ensure satisfaction.
Trained and coached branch employees in company policies, procedures, guidelines, and best practices.
Teamed with Operations Manager in staffing management by hiring, promoting, disciplining and terminating employees.
Senior Branch Examiner
Relied upon to conduct thorough branch office examinations as well as preliminary exam research.
Collaborated with field OSJ Managers and Registered Representatives to investigate compliance issues or violations of NASD/SEC rules and regulations.
Assessed and determined adequacy of branch s internal procedures and effectiveness of management, and provided recommendations for improvement.
Examined and skillfully evaluated investment portfolios to determine quality and suitability.
Performed as team leader on several audits which resulted in successfully uncovering and mitigating major compliance and legal issues.
Salomon Smith Barney, New York, NY, 1994 to 2002
Assistant Vice President C Wealth Management
Directed and supervised compliance activities for financial service retail branch generating approximately $18M annually.
Facilitated account management, business correspondence, internal branch audits, and high-risk trading transactions to ascertain constant regulatory compliance.
Prepared and delivered informative and regulatory presentations to branch personnel and regularly appraised financial consultants performance.
Assistant Control Administrator
Promoted from role as Registered Sales Assistant based on proven performance and achievements.
Contributed to reviewing and controlling risk, analyzed uncovered option and out of strategy options reports, and meticulously monitored heavily traded accounts and accounts with large margin balances.
Exhibited keen organizational skills in compiling financial consultants quarterly business reviews, participating in regulatory reviews, and assessing plan on solicitation, mutual fund switch and short term reports.
Identified and responded to Guided Portfolio Management/Portfolio Management violations.
Hiring Agent Name
I am currently seeking a challenging career opportunity in a <insert job title/position> capacity and am submitting my resume for your review. In advance, thank you for your time and consideration.
As indicated in the accompanying resume, I offer an outstanding background in the financial services arena, proficiency in directing daily business operations and staff, and solid experience in budget administration, P&L, client relations, and regulatory compliance. To complement these qualifications, I offer strong expertise in human resources, account servicing, business planning, and quality control which should prove instrumental as a <insert job title/position>.
As a proactive member of your management team, you will find me to be a solutions-driven professional committed to supporting you in achieving your objectives through superior performance, experience, and leadership. I am confident that I could be a valuable asset to your company, and look forward to interviewing with you in the near future.
Yyyyyy x. yyyyyy
Interviewer s Name
It was a pleasure (speaking with you/meeting with you) on [insert date here]. I would like to take this opportunity to thank you for the time you spent with me, as well as to express my appreciation for the information you offered. I am still very interested in the [insert name of position] position, and I am convinced that it is the right job for me. I feel my background and qualifications prepare me well for the responsibilities we discussed.
The position as you described it to me would combine my strong skills in [insert two skills or qualities here]. This would allow me to make the same valuable contribution to your organization as I ve made to my past employers a win-win proposition for both of us.
(Choose one of the two paragraphs below, depending on whether or not you have, or have not yet, interviewed with the person)
(I am eager to meet with you in person to further discuss my background and qualifications. Please feel free to contact me at the above phone numbers so we can continue the discussion we began over the telephone.)
(Again, thank you for considering my qualifications. I enjoyed our talk, and am available at any time to provide you with any more information you may need. I look forward to hearing your decision.)
Yyyyyy x. yyyyyy
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