Sophia Licauco

acd67a@r.postjobfree.com

949-***-****

QUALIFICATIONS

Enthusiastic, self-motivated and organized, results oriented with

commitment to customer satisfaction. Microsoft Certified in Word and

Excel. Proficient with Microsoft Word, Excel, PowerPoint, Access,

Publisher, Bill Good Marketing Software, ACT, QuickBooks, Peachtree, Corel,

Photoshop, Illustrator, Timberline, Ascom, Quicken, Print shop, Vision

2020, DST Vision, Morningstar, Intermediate knowledge of UNIX operating

systems. Familiar with relational database concepts and basic SQL syntax.

I am also a Notary.

EMPLOYMENT HISTORY

Ward McDaniel & Sagepoint Financial, Irvine, CA

02/2012-10/2013

Sr. Executive Assistant

. Compliance management

. Facilitated and resolved clients problems and inquiries

. Liaison between client and Financial Advisor

. Made sure all client files are in compliance

. Placed orders and trades

. IT troubleshooting

. Performed top level administrative duties in support of the President,

including making travel arrangements, scheduling a high volume of

meetings and appointments, managing an ever-changing business/personal

Outlook calendar, and managing complex schedules

Manage all travel arrangements for the President by independently

researching options for hotels, flights and ground transportation and

making the necessary reservations; prepare itineraries

. Plan, coordinate and facilitate on-site and off-site executive

meetings and seminars, including researching potential meeting

locations, obtaining quotes and proposals, presenting recommendations

to the President, and negotiating contracts with the various hotels

and vendors

. Travel periodically for off-site seminars and training

Inner Mind Development Inc., Manila Philippines

07/2009-02/2012

Marketing Manager

. Provide personal daily assistance to the President of the Company

. Screen multiple requests for meetings with the President and utilize

sound judgment in managing priorities of requests based on importance

and urgency

. Draft President's correspondence based on a general outline of points,

and prepare PowerPoint and other presentations as needed

. Organize and manage documents using various software programs

. Assist President with some personal matters, such as booking personal

travel

. Prepare the materials and handouts for the seminars; secure

appointments & book the entire travel itinerary for the president and

participants

. Travel periodically for off-site seminars. Assisted the President

before, during and after the seminars

. In charge of banking and balancing of owners accounts

. Assist in the web site production

. Assist in the seminar presentation

. Edit and publish President's books

AEQUTIS Private Wealth Management, Newport Beach, CA

03/2007-07/2009

First Allied Securities, Inc.

Executive Service Assistant

. Responsible for all service problems by maintaining documented action

taken on by the sales team

. Compose general correspondence, letters, and responded to requests by

clients

. Handle and resolve complex issues of client concerns regarding their

accounts, provide support regarding client's contracts, trusts, death

benefits, etc.

. Assist the Financial Advisor & clients with Life Insurance

Illustrations and paperwork

. In charge of Payroll, Office bills, taxes, utilizing QuickBooks

. Calendar travel, seminar, events and appointments

. Took care of the overall office needs, making sure files are compliant

with NASD/SPIC rules and regulations

. Implement corrective actions and addressed compliance related issues

revealed during internal audits and regulatory examinations

Financial Partners Credit Union, Anaheim, CA 05/2006-

01/2007

Administrative Services Manager

. Perform a broad range of duties in virtually every sector of the

Investment and Insurance Department

. Participate in planning sessions/meetings that determined future

Investment objectives and products

. Coordinate and direct support services to organizations such as

Investment companies. Facilitate correspondence between OSJ and

Financial Advisors. Create and manage the departments' business plan

. Supervise, coach, train, and develop branch center employees in all

operations, products, services, cross selling of all products and

services, loan functions and attainment of individual goals

. Responsible for managing relationship with sponsor management team

(CUNA) to ensure support and positive credit union positioning

Morgan Stanley, Irvine/Monarch Beach, CA

08/2004-04/2006

Operations Manager/Branch Manager Assistant

. Resolve difficult problems, which staff cannot rectify

. Process incoming checks, distributions, input trade transactions,

trade errors and all operation paperwork for 14 financial advisors

. Arrange large group meetings - schedule meetings with all parties;

book meeting rooms and call-in numbers; arrange special meeting

facilities; send meeting confirmation emails; prepare and distribute

meeting materials

. Prepare and submit Financial Adviser's expense reports

. Daily duties of a cage person. Signed distribution checks, Batched,

Inputted trade errors correction, Reviews new trade activity, stressed

portfolio exposures, approves margin calls, Responsible for management

of daily operations of Mutual Fund Administration

. Participate in compliance due diligence of merger and acquisition

targets and provided assessment of Compliance risk as it relates to

potential acquisitions

Associated Securities Inc., Newport Beach, CA

02/1999-08/2004

Executive Assistant/Operations Manager

. Assisted Owner, Advisor and President

. Logged all commissions utilizing Excel

. Made sure the organization is in compliance with FINRA/SIPC

regulations

. Assisted Finance Director President/Owner in guiding and directing

financial analysis, evaluation, and report generation activities of

current and proposed financial plans

. Acted as a primary support to the Finance Director President/Owner in

the administration of the financial operations of the organization,

including the overall operations of the fund accounting system.

Assisted in the oversight of purchasing, accounts payable, payroll,

revenue collection, data systems, contracts and grants, enterprise

accounting, lease activities, and other financial areas not

specifically mentioned

EDUCATION

St. Scholasticas's College, Manila, Phil. - B.S.

Cerritos College, Cerritos, CA - 12 ECE units

Career Management Institute, Orange, CA - Microsoft Certified in Word and

Excel

Bill Good Marketing University Master's Program, Utah

Life Insurance Training, AD Banker, Santa Ana, CA

National Notary Association Class, Costa Mesa, CA

Contact this candidate