Manager Assistant
Resume:
Jeffery Lu
Email: *********@********.***
Address: ***** ******* **
City: Rowland Heights
State: CA
Zip: 91748
Country: USA
Phone: 626-***-****
Skill Level: Management
Salary Range: $85,000
Primary Skills/Experience:
See Resume
Educational Background:
See Resume
Job History / Details:
Jeffery Lu 18965 Amberly Place Rowland Heights CA 91748 626-***-****
*********@*******.***
Summary of Qualifications: Over 10 years of administrative, risk management, services expertise with a fortune 100 company. In-depth knowledge of financial industry, investment recommendations and strategies, fiduciary practices, and the investment advisory and wealth planning business.
Mass Mutual - Fraser Financial Group - Beverly Hills, CA Sept. 2002 ~ Sept. 2012
Agency Supervisory Officer/Compliance Officer
* Reviewing Securities Transactions
o Develop customized asset allocation strategy and investment solutions for clients
o Reviewed and approved trade documents daily for suitability and thoroughness for all product lines
o Analyze the risks and advantages/disadvantages of various client investments
o Recommend for clients only those securities or investment strategies that are suitable for their particular financial status, objectives, risk tolerance, tax exposure, and time horizon
* Monitoring Activities/Auditing
o Monitor Investment performance based on client's strategies and adjust if necessary
* Training/Continuing Education
* Record Keeping
* Hiring and Firing
* Resolving Problems
* Supplemental Procedures
Core Pacific Yamaichi - Arcadia, CA Mar. 1999 ~ Jul. 2002
General Securities/Financial & Operations/Options Principal - Chief Compliance Officer & Operations Manager
* Co-founded Core Pacific Yamaichi Securities USA LLC (Registration, Licensing, Operations, FINRA Interview/Inspection)
* Designed internal policies and supervisory procedures
* Maintained SEC, FINRA, and state insurance requirements
o Performed annual exams
o Analyzed sales and marketing literatures, and client contracts
o Organized and ran compliance meetings
o Monitored electronic communications
o Supervised the registration and continuing education processing
o Designed and completed periodic reviews of compliance activities in relations to FINRA rules, amendments, or changes
o Responded to inquiries from regulatory organizations
o Streamlined operations and settlements workflow and procedures
Capital World Securities Corp. - Industry, CA Jan. 1996 ~ Sept. 1998
Assistant Vice President/Assistant Compliance Principal - Financial Consultant
* Inform clients with current and past market conditions
* Made suitable investment recommendations to clients
* Helped clients to diversify their investments to suit their objectives, risk tolerance, and time horizon
* Assisted Compliance Officer with regulatory reviews and activities
EDUCATION: California State University Fullerton, Bachelor of Arts in Finance (Jun 1998)
LANGUAGES: Fluent in English, Mandarin, and Taiwanese
REFERENCES: Grant Fraser 323-***-****, Ext. 388 General Agent
Terry Faust 562-***-****, Ext. 103 District Manager
Peter Lizotte 323-***-**** Registered Agent
Jodi Rosenbloom 818-***-**** Registered Broker
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