Sales Assistant Telemarketing
Resume:
Caryn Taurog Borden
adtm1e@r.postjobfree.com
Education
● Holder of Series 7, 66 and 24 FINRA Licenses
● M.B.A. 2005, Southern Methodist University
● B.A. 1996 Political Science, Minor in French, Texas Tech University Prospera Financial, Dallas, Texas April 2021 to Present Transitions Manager
● Manage one of two transition teams responsible for onboarding new Financial Advisors to Prospera.
● Conduct weekly meetings with each new office to ensure a smooth transition when moving over their business. Coordinating with Technology, Marketing, Compliance and the Operations Departments.
● Guide the Advisors and their staff through Prospera and Wells Fargo’s policies and procedures as it relates to setting up new accounts and moving assets over.
● Run weekly reports on any missing items and to keep Advisors appraised of paperwork status.
● Ensure Advisors are following all legal protocols for moving their business as outlined by compliance and legal.
● Train new Advisors and staff on our platforms.
● Assist Financial Advisors and Sales Assistant on any escalating issues to Wells Fargo for resolution.
● Work with Operations as we near the end of onboarding to transition Advisors to Operations. Set up any needed training and support. Prospera Financial, Dallas, Texas February 2016 to April 2021 Operations Manager
● Managed the employees from the Operations and Transitions teams for Prospera.
● Conducted weekly meetings with each employee to mentor and provide additional training and job support.
● Created and met my yearly goals for the last five years. These included cross training, creating workflow tasks and tracking for each team member, training manuals, and better recording of office procedures as they relate to money movement and account approvals.
● Worked closely with Compliance to ensure regulatory procedures are followed and implemented as needed.
● Reviewed and approved certain asset movement requests and policies as required by Compliance.
● Assisted Financial Advisors and Sales Assistants on escalating issues to Wells Fargo for resolution.
● Worked with our Transitions team to onboard new firms by implementing workflow strategies and providing resources as needed.
● Created and implemented new workflow processes in SalesForce for Operations, Compliance and Transitions.
● Responsible for all content and speakers for our Sales Assistant University Conference. FullCircle Wealth, Dallas, Texas September 2007 to February 2016 Registered Sales Assistant, Supervisory Principal
● Created, coordinated and organized office workflow for client accounts.
● Assisted in developing, preparing and maintaining client investment portfolios and reports.
● Communicated as a liaison between clients, broker-dealer and other service providers.
● Prepared Client reviews.
● Responsible for supervising the sales activities for the Advisors in the Dallas office.
● Ensured continued adherence to broker-dealer and RIA supervisory procedures, for compliance and relevant regulatory and industry best practices.
● Interacted with Branch/FINRA auditors during on-site examinations. Dini Partners, Dallas, Texas September 2007 to September 2009 Consulting Projects Manager
● Lead project activities between clients and Dini team members.
● Wrote grant proposals, reports, and case statements for clients
● Coordinated and created campaign collateral materials, working closely with the client.
● Conducted prospect research and moves management tracking.
● Trained client staff on prospect research.
● Participated in client strategizing sessions and meetings with team members, client staff, and volunteers.
Dallas Children’s Advocacy Center, Dallas, Texas January 2006 to September 2007 Director of Corporate and Foundation Relations
● Wrote and prepared all grant proposals to secure funding for the Center.
● Researched objectives and guidelines of potential Foundation donors in correlation to the Center’s funding priorities.
● Maintained grant and reporting timeline to ensure submittal in a timely manner.
● Prepared all required funding reports.
● Worked with the Director of Volunteers to cultivate and steward corporate volunteers.
● Managed the United Way speaking engagements and giving campaign for the Center’s staff.
● Provided tours and speeches to requesting corporations and organizations as needed to raise awareness.
Southern Methodist University, Dallas, Texas
Communications Analyst September 2004 to December 2005
● Coordinated communications calendar for the Development Office.
● Analyzed and distributed monthly fundraiser reports to Development officers.
● ROI reporting and analysis for University direct mail and telemarketing fundraising efforts.
● Performed strategic planning in coordination with team members for direct mail, telemarketing and e-marketing fundraising efforts.
● Wrote copy for mass marketing solicitations.
● Managed four budgets and developed and distributed monthly summary reports. Event and Development Coordinator May 2001 to September 2004 School of Engineering, Dedman College
● Coordinated events and communications between scholarship recipients and their respective donors.
● Planned and executed special events including the Dedman Book Club and Annual Hall of Leaders Award Dinner.
● Maintained various events and inter office budgets.
● Researched and wrote project sales kits for the School of Engineering during the SMU Campaign: “A Time to Lead”.
● Analyzed donor history and researched new donor prospects. Assistant Director of University Events December 1999 to May 2001
● Worked closely with the Director to plan and implement events for the University.
● Developed budgets for events.
● Coordinated and managed volunteers for each event. Cystic Fibrosis Foundation, Dallas, Texas
Coordinator of Special Events February 1998 to December 1999
● Oversaw all aspects of the annual Bingo Luncheon.
● Secured prizes and sponsorships for events and auctions.
● Coordinated and selected managed volunteers for all events. Assistant to the PAC Coordinator, Washington, DC
National Federation of Independent Businesses March 1997 to November 1997
● Researched and analyzed political candidates’ backgrounds and voting records to determine potential candidate endorsements for the upcoming elections.
● Contacted NFIB members and former PAC contributors to solicit additional funding for upcoming elections.
● Generated financial reports and tracked incoming contributions in a financial donor system.
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