Manager Sales

BONNIE B. MITCHELL

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

Springboro, OH 45066

**********@***.**.*** 937-***-****

SUMMARY

Operations Manager/OSJ Branch Office Management professional experienced in Financial Services field.

With in-depth industry knowledge, strong supervisory oversight experience. Key strengths in management,

leadership, compliance, problem resolution, training, and back office operations procedures. Solid experience

hiring, directing staff and coaching management staff to meet business objectives.

SUMMARY OF QUALIFICATIONS

• 15 years experience in supervisory oversight from OSJ level to Branch office principal. Reviewed sales

and sales practices of 150 registered representatives covering a wide geographic region.

• Conducted preliminary audits of field offices to identify non-compliance in books and records and other

potential deficiencies. Managed the process of reducing risk by providing effective resolutions to branch

office managers and their support staff.

• Conducted compliance training across a large geographical territory. Delivered small group and one on

one presentations. Designed the training, guided staff and managers on proper books and records,

customer complaint handling, registration issues, and use of sales material.

• Reviewed and approved all correspondence both written and electronic regarding all business lines.

Business lines included, Securities, mutual funds, variable products and 403b/457 market

• Active registrations include Series 7, Series 8 and 63

TECHNICAL SKILLS

• Microsoft Office, Word, Excel, GoTo Meeting,PowerPoint

• Net Exchange Pro- Brokerage platform

• MoneyGuide Broker and MoneyGuide Pro Asset allocation and planning tool, Smartworks-CMS

• Retirement Readiness Illustration tool

PROFESSIONAL EXPERIENCE

ING FINANCIAL ADVISERS, LLC, Windsor Ct 1999 - 2009

Regional Retail Sales Support Manager 2006 - 2009

Created individualized software training sessions focused on practice management. Geographic territory

covered Midwest and Southeastern United States. Used targeted marketing plans and tailored processes to

guide and motivate use of Contact Management Systems to increase sales of retail financial products.

• Trained registered representatives in the region with a focus on retail sales development,

augmenting Home office sales initiatives. This included on boarding of all new Representatives,

Managers and support staff.

• Participated in corporate and departmental strategic planning relating to new business processing,

technology and planning for growth.

• Provided proactive leadership and coaching to both management and support staff regarding overall

retail operations and compliance responsibilities.

• Created and demonstrated asset allocation modules and retirement planning illustrations, and

Marketing technology to increase sale of retail financial products within my territory.

BONNIE B. MITCHELL PAGE TWO

ING FINANCIAL ADVISERS, LLC (Continued)

Regional OSJ Operations Manager 1999 - 2006

Project Manager role-Designed, managed and implemented OSJ office processes and procedures for a newly

created OSJ office and region that included five branch offices. Served as a liaison between the OSJ office and

Home office operations department. provided consistent advice and guidance to Managing Directors and

Branch Managers.

• Reviewed and gave final approval on all new accounts and trades as an OSJ principal.

• Implemented processes in branch offices to streamline and create better OSJ processes to ensure critical

functions were obtainable throughout the region. The streamlining resulted in a better use of regional

support staff time.

• Recognized as one of very few OSJ branch audits with no deficiencies. Achieved successful audits in

branch offices obtaining highest possible rating of “strength” locations are well controlled and

supervised.

• Developed a “Quick start’ field training program designed to move Series 6 representatives to the Series

7 level used company wide.

• Advised on compliance auditing processes that resulted in a revised Compliance manual used company

wide.

PREVIOUS EXPERIENCE

VARIOUS OPERATIONS POSITIONS 1988 - 1999

GRADISON –MCDONALD INVESTMENTS, Cincinnati, OH

Branch Administrative Manager/ Promoted to Assistant Branch Manager-Vice President 1998

Managed 15 sales support staff and supervised 46 registered Representatives.

PAINE WEBBER, Dayton, OH

Branch Operations Manager

Managed staff of fourteen administrative support and four operations staff.

PRUDENTIAL SECURITIES, INC., Clayton, MO

Branch Operations Manager

Managed operations staff of eight and sales support staff of fourteen.

EDUCATION

St. Louis College, St. Louis, MO

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