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0000 xxxxxx xxxx , xxxx , xxxxx 00000


yyyyyy x. yyyyyy

yyyyyy x. yyyyyy

versatile, results-focused professional eager to contribute broad administrative, operations management and team building talents toward actively supporting a progressive company in optimizing performance


  offer extensive experience in operations, human resources and compliance, with comprehensive management background.

  effectively define, develop and implement targeted action plans to maximize operational productivity, efficiency and profitability.

  proactively hire, train, develop and direct motivated teams and create a collaborative environment conducive to achieving high levels of employee retention and job satisfaction.

  dynamic communication, presentation, relationship building and problem-solving abilities.

  excel at interacting with broad populations including senior management and staff as well as clients and external contractors.

career achievements

  innovatively created and implemented systems for financial consultants at rbc wealth management to more effectively manage annuities that become annuitized or need attention.

  integral member in designing/implementing new compliance procedures for new division of goldman sachs.

  recipient of smith barney "heart of performance" award for implementing system to support all staff.

professional experience

rbc wealth management                                                                                                    2006-present

senior registered client associate

  actively provide daily support for 2 financial consultants with $1.3 million in production. 

  contribute dynamic interpersonal relation skills in directly communicating with clients on behalf of financial consultants.

  proficiently perform diverse administrative activities, including ensuring accuracy of account documentation and coordinating client mailings and presentations.


equity, blakemore & associates & urban utah homes & estates - salt lake city, ut             2002-2006


  applied industry expertise and communication talents toward coordinating real estate department activities and effectively negotiating acquisition and disposition of properties.

  promptly identified and resolved issues and maintained active involvement throughout closing.

  conducted comprehensive research and analyses of zoning ordinances and condemnation considerations as well as investment properties, in order to provide appropriate recommendations.


farm bureau financial services - des moines, ia                                                                  2004-2005

compliance field advisor

  resourcefully performed general business examinations and variable product compliance inspections to ensure compliance with insurance and securities industry regulations for 5 states.

  maintained full accountability for developing and scheduling exams within the assigned regions.


sos staffing - salt lake city, ut                                                                                         2003-2004

temporary associate

  contributed organization and multitasking talents in supporting the hr department of st. marks hospital in coordinating orientation, processing employment applications and answering employees questions regarding, 401 (k) s , employment questions and insurance.

  efficiently processed credit applications and bankruptcies at the credit department of sos staffing.



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kathy swaringen                                                                                                                                      page 2 of 2



goldman sachs - salt lake city, ut                                                                                     2000-2001

utah regional compliance manager          

  built and established key relationships with senior management and staff members; liaised between subordinates and supervisors as well as between hr department and local employees, to effectively identify and resolve problems.

  exhibited solid leadership qualities in training new investment professionals in compliance policies and procedures; assisted in developing new employee training manuals.


smith barney                                                                                                                      1987-2000

compliance manager, vice president investments - salt lake city, ut (1997-2000)

  proactively participated in daily management team meetings, assisting in identification, evaluation and resolution of human relations issues.

  oversaw and executed branch policies and procedures to ensure compliance with nasd, nyse, sec and other regulatory agencies for branch office employing 45 financial consultants producing $2 million monthly.

  effectively monitored, supervised and approved new accounts, daily trading activities, error accounts, and review of all incoming and outgoing correspondence.

  provided superior service and exceptional client satisfaction by establishing key relationships and routinely reviewing customer accounts for roa, turnover, suitability and financial consultant discretion for the protection of both the client and the firm.

vice president - operations managers - ogden, ut (1993-1997)

  managed the daily operations for branch office employing 15 financial consultants and 10 staff members.

  spearheaded diverse administrative activities ranging from staffing, training and performance evaluation to margin and option account management, p&l administration, and supervision of support staff.

various positions within company (1987-1997)

  promoted from operations generalist to csa/assistant operations manager.


series 6, 7, 63 & real estate licensed

technical proficiencies

microsoft office, word, excel, powerpoint and various other systems

professional affiliations

member of national board of realtors

member of utah board of realtors

salt lake board of realtors habitat for humanity

participated in a habitat for humanity build in baton rouge, la after hurricane katrina





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