Equity Sales and Compliance Supervisor Sample Resume Format in Word Free Download -->

Equity Sales and Compliance Supervisor Sample Resume Format in Word Free Download

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Sample Template Example of Beautiful Excellent Professional Curriculum Vitae / Resume / CV Format with Career Objective, Job Description, Skills & Work Experience for Freshers & Experienced in Word / Doc / Pdf Free Download
Lilly Hawkins
309 North Plum Street, Hart, Michigan 49001 ▪ Mobile: 952-381-9876 ▪ alilly@yahoo.com
 


I am a focused and highly goal-oriented Investment/Compliance Professional with over 15 years of verifiable success within the industry.  Adept at managing investment and compliance operations, investment planning and strategy implementation that provides superior customer service and satisfaction. A team player and leader with exceptional goal-setting and team-building skills.  I have supported branch based investment professionals with effective sales support and excellent client relations. I am an ethical and thorough planner with polished communication skills, gifted at identifying financial strengths and weakness and problems and at developing solutions.

CORE STRENGTHS
·         RIA Operations Management
·         Investment Management and Advisory
·         High Financial and Investment Aptitude
·         Analytical and Critical Thinking Skills
·         Customer Service and Client Relations
·         Policy, Procedures and Standards Compliance
·         Business Development, Revenue Generation
·         Management, Leadership and Organization
·         Problem Identification and Solutions Development
·         Business Communication and Interpersonal Skills

Computer Skills: Microsoft Office Applications— Word, Excel, PowerPoint; Morningstar Advisor Workstation.


PROFESSIONAL EXPERIENCE


Financial Partners, Inc., Mpls, mn VP Manager of Operations and Compliance. February 2003 to April 2008: Manager of Operations April 2008 to November 2008

Directed and supported the sales efforts of 12+ registered representatives including tracking of new sales and review and submission of new business. Created Morningstar Sales Hypotheticals and Grangaard System Presentations.

·         Effectively supervised and coordinated compliance activities associated with guidelines established by Tower Square Securities (TSSI). Established internal procedures and controls that are at least the minimum standards that had been established.
·         Actively recruited 12 Registered Representatives with a collective Gross Dealer Concessions in 2007 of over $1,800,000.

Foster Klima & Company, MPLS, MN              Equity Sales and Compliance Supervisor. August 1996 to January 2003

Oversaw the Equity/Investment Department for a Guardian Life General Agency, Park Avenue Securities, LLC and performed duties of Compliance Supervisor.  Also provided sales support to 80 Registered Representatives.  Entrusted with the management and oversight of the Equity Sales Desk Associate and Equity Compliance Manager.

·         Provided excellent business support through assisting in developing the sales of the Equity Sales Department of the company from $600,000 of GDC in 1996 to over $2,000,000 for the year ending 2000.

FK Advisory Services, MPLS, MN              Equity Sales Supervisor and Principal. August 1996 to January 2003

Supported the sales efforts of over 70 registered investment advisory representatives. Performed daily review and submission of new sales.

·         Successfully developed the marketing plan for the company, which was an independent Registered Investment Advisory firm bringing assets under management from $0 to $30,000,000+. 
·         Responsible for the development and successful implementation of all compliance programs and annual compliance audits.


EDUCATION & LICENSURE


Gustavus Adolphus College, ST. PETER, MN
Bachelor of Arts in Geography and Environmental Studies.

Tower Square Securities: Series 7, Series 24, Series 63. 2003 to 2006
Park Avenue Securities, LLC: Series 6, Series 26, Series 63. 1996 to2003

References furnished upon request.
Additional Info
Career Information
Most recent employer
Financial Partners
Relevant work experience
More than 15 Years
Highest Education
Bachelor's Degree
Career Level
Executive (SVP, VP, Department Head, etc)
Availability
Within 2 weeks
Location
US-MI-Hart
Relocate
Will Relocate
Travel
Up to 25% travel
Willing to work weekends
-
Active security clearance
No
Willing to work shifts
-
Target Job
Company size
-
Desired status
Full Time
Job type
Employee
Salary
50,000.00 - 100,000.00 USD/Per Year
Locations
US MN Minneapolis

Work authorization
US - I am authorized to work in this country for any employer.
Job titles
Internal Wholesaler
Industry
Financial Services
Insurance
Occupation
Financial Products Sales/Brokerage



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