Susan D. Moore

901-***-****

**** ********* **** *****

Cordova, TN 38016

abkqxt@r.postjobfree.com

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Objective: Seeking a more people oriented less regulatory position. Having

retired from the financial world, I am interested in the CUSTOMER SERVICE,

HUMAN RESOURCES, MANAGEMENT or ADMISTRATIVE arena, which would utilize and

challenge my business experience and knowledge from my past experience.

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( A "people oriented" individual, possess a positive, optimistic outlook,

which serves to build effective working relationships with clients and

associates.

( Easily establish professional rapport with people at all levels and

develop foundation of trust with advisors and clients.

( Possess highly effective time management and organization skills for

coordinating/meeting deadlines

SUMMARY OF QUAILFICATIONS

Communication:

Highly developed interpersonal skills, having dealt with a diversity

of professionals,

clients, staff members, and client complaints.

Regulatory:

Responsible for all registrations, trade activity, new account

requests, monitoring

existing accounts and correspondence.

Oversaw agent activity, responsible for all Compliance regulatory

reviews of

agents and firm.

Restructured and oversaw new system of all compliance, client and

corporate files.

Responsible of all heightened supervision, and rules, and regulation

adherence.

Oversaw regulatory loss prevention.

Marketing:

Implemented and oversaw new advertising procedures which lead to 50%

more efficiency in approval time.

Principal over advertising approval.

Administration:

Oversaw advertising and operations department.

Interviewed, hired, dismissed employees.

Responsible for all quarterly and yearly Compliance filings and

reports.

WORK EXPERIENCE

1st Global June 2010 - September 2010

Dallas, TX

Compliance Consultant

Responsible for review of advertising and CPA/Advisor offices. Extremely

unhappy being away from family, resigned, returned to Memphis

Retired March 2009 - June 2010

Shoemaker Financial March 2006 - February 2009

Germantown, TN

Compliance Manager /Investment Management Specialist

Responsible for all compliance issues except complaints of a legal nature:

including advertisements, licensing, contracting, annual reviews and

monitoring of trades.

Northwestern Mutual Financial Network August 2002 - August 2003

Memphis, TN

Part-Time Financial Representative Associate

Responsible for all variable products and trading thereof as well as

prospecting, and advertising.

Realty Doctors, Inc. (family business) January 2002 - March

2005

Germantown, TN

Officer Manager

AXA Assets, Inc. July 2000 - February 2001

Memphis, TN

Branch Compliance Manager

Directed all compliance issues for this Retail Agency.

NBC Capital Markets Group, Inc. November 1997 - June 2000

Memphis, TN

Compliance Specialist and Assistant Vice President

Responsible all retail compliance issues

Proctor Testing/Sylvan Prometric (formerly NASD) December 1988 - February

1997

Memphis, TN

Senior Customer Service Representative

Received Outstanding Customer Service Award for the 3 years

Education : University of Memphis - Bachelor of Education

Southwest Community College - Certificate Business Programs

References: Upon Request

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