Customer Service Sales
Resume:
Cindy L. Freeland
**** ****** ***** *****; Midlothian, Virginia 23112
*************@*******.***
Qualifications Summary:
Over 13 years in the Compliance field. Detail oriented and resourceful in
completing projects. Possess strong organizational, technical, and
interpersonal skills allowing successful multi-tasking in a fast paced
environment. Committed to superior customer service. Confident and poised
in interactions with individuals at all levels. Good communication skills
(orally and in writing).
Licenses: Series 7, 63, 65, 8, 24, and Insurance
09/2005 - Present CBS Advisors LLC - Director, Compliance
05/2007 - Present Advent Securities - Chief Compliance Officer
12/2005 - Present Waterford Investor Services, Inc. - Director,
Compliance
8/2005 - 12/2009 Community Bankers Securities LLC - Vice President -
Compliance
. Director of Compliance/Principal - Vice President
Serve as AML Officer; Research and follow up any items requiring
attention; Prepare and follow up with State Insurance Bureaus;
Revise and maintain various manuals according to applicable
laws; Perform audits to ensure our policies and procedures are
being followed; Interact with Regulators during routine exams;
Document, analyze and evaluate internal controls; Receive
customer complaints, conduct investigations, and respond
accordingly; Review and approval of correspondence; Create
internal memos for compliance items and distribute
appropriately; Presenter at monthly sales meetings for
registered representatives; Ensure accurate and timely filings
with the regulatory bodies; Coordinate in-house continuing
education; Create agenda and supporting documentation for annual
compliance meetings; Maintain CRD system; Coordinate letters for
Books and Records purposes; File various applications and
paperwork with appropriate states and SRO's
SPECIAL ASSIGNMENTS: Prepared responses and documents,
conducted research, and coordinated with attorneys for SEC
subpoenas, investigations, and inquiries. Prepared responses
and documents, conducted research, and coordinated with
attorneys for FINRA investigations and inquiries.
2/1996 - 8/2005 Davenport & Company LLC
. Compliance/New Accounts Manager/Principal - Vice President
Active in the creation and upkeep of the Anti-Money
Laundering/Customer Identification Procedures; Managed staff of
five including conducting reviews/evaluations, hiring/firing,
and creating schedules; Create and oversee all New Account
procedures; Kept New Accounts section and Anti-Money Laundering
sections of Compliance Manuals up-to-date; Received FinCen
notifications to bounce against our client base; Reconciled
information provided by third party verifier; Created and
updated New Accounts website (intranet);
Coordinated Books and Records project
. Sales Assistant/Branch Liaison
Sales Assistant for two brokers; Coordinated travel and meetings
for branch personnel;
Started yearly sales assistant meeting bringing in branch
assistants for training and
Networking; Trained new assistants; Created manual for new
representatives; Transitioned accounts from old firm for new
representatives; Created and maintained timelines for new
branches, new representatives, branch to branch moves
9/1994 - 2/1996 Eastman Kodak
. Administrative Assistant
Provided support for District Manager and field salesmen; Ran
service reports; Coordinated demonstrations for perspective
clients
Education: Averett University
Bachelor of Business Administration received June 2008
Graduated Cum Laude
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