Motivated, dedicated, solutions-driven, and analytical financial services professional with 11 years’ combined experience in operations, compliance and sales, coupled with 3 years’ experience working in the National Financial Services’ clearing firm environment. Detail-oriented and organized with a strong customer service orientation. Effective in establishing and maintaining business relationships to ensure compliance and adherence to NASD regulations and company policies across organization levels. Comprehensive knowledge of mutual funds, fixed and variable annuities, unit investment trusts, stocks, bonds, and life insurance products. Effective writing skills; experience in developing and writing training material and other documentation to help the reader or user of the information increase productivity or to minimize compliance risks.

COMPANY	POSITION HELD	DATES WORKED
Brookstreet Securities	(Confidential)	12/2006 - 6/2007
Pacific Investment Management Company	(Confidential)	6/2006 - 11/2006
WM Financial Services, Inc.	(Confidential)	6/1998 - 6/2006
Prudential Financial	(Confidential)	6/1996 - 5/1998

SCHOOL	MAJOR	YEAR	DEGREE
California State University, Fullerton	Business Administration	1995	Bachelor Degree

Highlights:

Recognized by management, peers, and sales force throughout career for product knowledge and timely assistance on compliance or operations matters.

Companies I like:

Citibank, Smith Barney, asset or investment management companies, insurance companies, mutual fund companies

P&L responsibilities
Presentation
Ecommerce Strategy and digital marketing channels optimization - SEO, SEM, email, affiliates - for high-profile accounts.
Technology Solutions
Sales Support
Software Implementation
Requirements Analysis & Specification
Leadership

• Compliance
• Operations
• NASD Regulations
• Financial Services Professional
• NASD
• Mutual Funds
• Annuities
• Stocks
• Bonds
• Life Insurance
• Writing Training Materials
• Detail Oriented
• Training
• Effective Writing Skills

Provided operations support to Registered Representatives in all areas of operations, including account maintenance and money/securities movement in customer accounts. Served as backup to the Executive VP/COO and VP of Compliance in reviewing and approving options trading on customer accounts. Liaised between the registered representative and clearing firm involving inquiries / review / processing of W-8BEN and W-9 forms, and IRS B and C Notices on customer accounts. As one of few licensed representatives, mentored junior-level co-workers on brokerage activities.