Occupation:Auditor |
Location:Las Vegas, NV |
Education Level:Some College Units Completed |
Will Relocate:YES |
Description
SUMMARY OF QUALIFICATIONS * Qualified professional with over 25 years in BROKERAGE COMPLIANCE & FINANCIAL INVESTMENT OPERATIONS MANAGEMENT & ADMINISTRATION including: o Federal & State Regulations & Audits o Broker Recruiting & Effective Communication o Heavy Client Interaction, Troubleshooting, Crisis Intervention & Problem Resolution o Developing Strategic Compliance Plans, Policies & Procedures o Detail-Oriented & Creative Team Player proficient in SUPERVISION OF COMPLIANCE, OPERATIONS & ADMINISTRATION MANAGEMENT with proven results in: o Staffing, Evaluating, Coaching, Motivating & Supervising Personnel o Coordinating Resources to Ensure Maximum Productivity & Profitability o Maintaining Quality Assurance Controls o Ensuring Strict Adherence to Company & Regulatory Standards o Preparing Accurate Documentation & Reports o Working Well Under Pressure of Multitasks, Workloads & Fast-Paced & High Stress Environments
Work Experience
| COMPANY | POSITION HELD | DATES WORKED |
|---|---|---|
| Pcg (Private Client Group's) Broker And Client Federal And State | Regulatory Compliance | 1/2008 - 1/1993 |
| Wells Fargo Advisors | Branch Managercompliance Manageradministrative Managerbranch Administration/Branch Managers Assistant | 1/2006 - 1/2008 |
| Wells Fargo Advisors | Pcg Control Specialist Vice President | 1/1993 - 1/2018 |
| Paine Webber | Operations Manager | 1/1993 - 1/1993 |
| Dean Witter | Assistant Operations Manager | 1/1993 - 1/1993 |
Accomplishments
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