Heather E Williams 618-***-****

**** **** ****** **** acf3zj@r.postjobfree.com

Waterloo, IL 62298

PROFESSIONAL SUMMARY

Results-driven business leader with over 24 years progressive expertise in

supervisory systems analysis and design to best fit client needs in the

areas of defined benefits, mutual funds/401(k), 403(b), options, equities,

fixed income, audit, finance and accounting environments. Key deliverables

include project planning, leadership and management, auditing, contract

negotiation, information systems support and delivery, and conflict

resolution. Experienced in process planning, technical writing, financial

reporting, project documentation, random sample testing and user training.

Proven leader in client consultation, human capital management, client

loyalty and retention drivers, business processes, and financial services

supervisory leadership. Experience includes progressive development of

associates aligned with critical business requirements. Results have been

focused on core process implementation focused on changing industry

regulations (i.e., HIPAA, GAAP, Sarbanes-Oxley, FINRA, SEC, ERISA, and Dodd-

Frank).

PROFESSIONAL EXPERIENCE

Edward Jones 7/2000 - 7/2014

St. Louis, MO US

Team Leader - Field Supervision

- Provided daily oversight of 9 Field Supervision Directors which conducted

FINRA OSJ reviews and ensured integrity with all aspects of regulatory

compliance for 935 Financial Advisors spanning an 8 state territory.

- Directed, observed and trained associates to conduct branch financial

audits consisting of books and records and supervisory visit review in

accordance with FINRA and SEC guidelines.

- Reviewed suitability of financial transactions, trade practices, outside

activities, books and records, annual audits, client interactions and

communications with the public.

- Areas of expertise included coordinating workflow, monitoring daily

quality review, performance analysis and coaching, interviewing and hiring

new associates, and building continual training and departmental knowledge

development.

- Project management leadership was delivered by coordinating with key

stakeholders in creating supervisory systems that support trend-pattern

identification, margin loan approval, portfolio level review supervision

and advanced training programs.

- Provided ongoing review and enhancements of Written Supervisory

Procedures (WSPs) and internal reference guides for firm level knowledge

base as changes to the regulatory environment occurred.

- Participated in firm level FINRA, SEC and state regulatory examinations

on a regular basis. Represented the firm in FINRA arbitrations as a firm

representative. Responsibilities included explaining the firms' supervisory

systems, procedures and processes. Provided firm level representation in

regional and national FINRA and SIFMA seminars and meetings.

- Served as a technical expert to the team, department and firm on

compliance issues and suitability of investment strategy.

- Coordinated project teams which addressed changing needs in the

supervisory process needed to comply with dynamic industry regulations.

- Communicated complex compliance issues to varied audiences.

Heather E Williams Page 2

Advest Inc 1/1995 - 4/1999

Swansea, IL US

Investment Executive

- Experienced in direct sales, business development, marketing, and

consulting in highly competitive segments of the financial services

industry.

- Built a multi-million dollar book of clients in 4 years.

- As a junior executive, proven producer of sales and profit with ability

to pinpoint business opportunities; also planned, developed, and executed

effective business strategies under challenging market conditions.

- Identified as a high-energy leader with excellent people skills.

AG Edwards 3/1990 - 1/1995

St. Louis, MO US

Executive Sales Assistant

- Provided securities operations support for Investment Representatives,

clients and home office associates

- Generated client facing portfolios, proposals and results documentation.

- Calculated cost basis for portfolios and ensured proper reporting was

completed.

-Used Word, Excel, Power Point, SQL and various other database programs to

provide account and trend analyses for internal and external receivers

EDUCATION

Bachelor of Science - Business Administration Finance major completed

6/2000

Associate of Science - Account completed 6/2000

Hawaii Pacific University Honolulu, HI

JOB RELATED QUALIFICATIONS AND RECOGNITION

FINRA Series 24, 9, 10, 7 and 63 securities licenses

Illinois Health, Accident, Life, and Variable Insurance License

Microsoft Word, Excel, PowerPoint, PeopleSoft, Hyperion, and database

programs

Advanced knowledge of security, risk and compliance (SRC) training methods

SQL, Mainframe, Access queries

Firm Inclusion Ambassador Recognition

Firm Client Service Excellence leader

Firm Inclusion and Diversity mentor

Advanced Training Instructor

COMMUNITY INVOLVEMENT

Delta Theta Tau Omicron Psi chapter - Founding Chapter President

. raised in excess of $150,000 for philanthropic use and charity in 2

years

Randolph County Saddle Club - President

. increased fund raising projects and membership by 50% in 3 years

American Red Cross - Lifetime member and gallon donor recognition

United Way - Longstanding supporter of charitable campaigns

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