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Financial Services Compliance Resume
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| Desired Industry: Finance/Investment |
SpiderID: 26980 |
| Desired Job Location: Chicago, Illinois |
Date Posted: 5/27/2009 |
| Type of Position: Full-Time Permanent |
Availability Date: Immediately |
| Desired Wage: 50000 |
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U.S. Work Authorization: Yes |
| Job Level: Experienced with over 2 years experience |
Willing to Travel: Yes, 25-50% |
| Highest Degree Attained: Bachelors |
Willing to Relocate: No |
Experience:
Kelly Financial Resources, Chicago, IL December 2008 – February 2009
Contract Assignment at Northern Trust Bank
• Analyzed and verified fixed income asset prices for clients of the firm.
LaSalle Financial Services, Inc., Chicago, IL June 2006 – November 2008
Investment Specialist (April 2008 – November 2008)
• Prepared and analyzed the daily cash report for the firm’s managed product and reconciled cash positions.
• Daily trade and investment reconciliation to ensure accounts were in balance with portfolio objectives.
• Tracked trade settlement dates for managed account portfolios.
• Executed trades in customer accounts, responded to financial advisor inquiries and cash requests.
• Created & distributed quarterly performance reports for the firm’s managed product.
• Created hypothetical illustrations for financial advisors to present to prospective clients.
• Assisted in the transition from LaSalle Financial Services’ to Bank of America’s managed product.
Financial Consultant/Client Services Representative (June 2006 – April 2008)
• Developed, maintained, and strengthened client relationships by establishing customized investment solutions.
• Assisted clients and the firm’s Financial Consultants with financial concepts directed toward achieving our clients’ financial goals.
• Made outbound phone calls to existing customers in an effort to discover and acquire additional assets to benefit both the client and the firm.
• Assisted clients and the firm’s Financial Consultants in troubleshooting brokerage account issues.
• Assisted in the day-to-day operations of account processing and servicing
• Assisted clients, sales assistance and Financial Consultants in understanding policies and procedures of the firm as well as FINRA, AML and other regulatory bodies.
• As a back office employee I had to be well versed in compliance, suitability, and AML policies and procedures to effectively assist the firm’s sales force and cliental.
Education:
BA Communication Studies, University of Iowa, Iowa City, IA May 2004
Skills:
Series 7, Series 66, Life & Health Insurance
Candidate Contact Information:
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