Customer Service Manager
Resume:
Heights Drive **********@***.**
Eureka, MO 63025 t
Kirsten Elder
Objective Challenging yet enjoyable position in any field that seeks an
individual with leadership qualities.
Experience 2004-Present Saxony Securities, Inc St.
Louis, MO
Compliance Officer
Supervise Field Supervisors responsible for the activities of their
designated representatives.
Perform internal auditing and provide testing results to Senior
Management for Supervisory Controls Program and Anti-Money Laundering
Program.
Perform monthly and quarterly account, activity, performance and
reporting reviews for overall supervision and risk management.
Assist firm counsel with legal matters involving information and
documentation requests in response to subpoenas, discovery requests
and arbitrations. Act as custodian of records for firm.
Interpret new or revised regulatory rules and draft written firm
policies and procedures for review by CCO.
Other responsibilities as needed in areas of continuing education,
registration & licensing, advertising, sales and regulatory related
correspondence as well as operational and trading support.
2000-2003 Clearing Services of
America, Inc St. Louis, MO
Trading Manager & Compliance Officer
Compliance Officer supervised activities of designated registered
representatives and home office compliance personnel
Assisted firm counsel with legal matters involving requests for
information relative to subpoenas, discovery and arbitrations.
Responsible for all areas of compliance of firm including branch
audits, compliance meetings, registrations and terminations,
continuing education requirements, and maintenance of firm's
compliance manual
Trading Manager responsible for activities of trading desk and best
execution issues through clearing firm, Pershing, LLC
1998-1999 Mercantile Investment Services, Inc. St .
Louis, MO
Customer Service Manager & Compliance Specialist
Compliance specialist responsible for the firm daily supervisory
review of all full service and discount brokerage activity to ensure
compliance with NASD, MSRB and OCC regulations as well as assisted in
the firm's continuing education program
Customer service manager responsible for supervision of customer
service desk associates acting as liaison between registered
representatives and/or their clients and other back office
departments (trading, new accounts, retirement accounts, mutual
funds, etc.) as well as the clearing firm, National Financial
Services Corp.
1994-1998 Clearing Services of America, Inc
St. Louis, MO
Head of Trading
1992-1994 Telephone Credit Union
St. Louis, MO
Assistant Manager/ Lead Teller
1989-1992 Educational Employees Credit
Union St. Louis, MO
Lead Teller
Licenses Series 4,7,24,53,63
Skills 10-key, Typing (40-45+wpm), Microsoft Office (Word, Excel, Access,
Powerpoint), Microsoft Outlook and Outlook Express, Visio,
Laserfische
References available upon request
Contact this candidate