Manager Sales
Resume:
Sally Rogers
Email: *********@********.***
Address: **** ****
City: Urbandale
State: IA
Zip: 50322
Country: USA
Phone: 515-***-****
Skill Level: Management
Salary Range: $60,000
Willing to Relocate
Primary Skills/Experience:
See Resume
Educational Background:
See Resume
Job History / Details:
4713 85th Street
Urbandale, IA 50322
Sally J. Rogers
Career Summary
Director of Network Office Supervision - Field Compliance Supervisor 2007-2013
District Compliance Specialist 2004-2007
Operations/Office Manager/Compliance 2000 2003
Executive Assistant Student Health Services/University of Montana 1996-2000
Achievements
Compliance: Moved 2 agencies from compliance probation to role model status
Systems: Rebuilt and created new record keeping systems, procedures, and work flow models to produce greater efficiency and teamwork.
Accreditation: Facilitated the accreditation process for the Student Health Services at U of M which passed an almost unheard of first time.
Training: Created and presented training courses using creative and innovative methods for new & veteran representatives, advisors, associates and staff.
Culture: Changed negative culture to positive as it relates to compliance.
Skills
Creative Communication/Teaching/Training
Teambuilding and Interpersonal Mentoring
Pro-active Self Starter and Problem solver
Proficient in Computer Skills
Education
FINRA Series Exams 7, 9, 10, 24 and 66(63& 65) completed.
Iowa Life & Health License
Computer Software Training Certificates
Spanish Language School Certificate
Simpson College ( no degree)
Employment
Northwestern Mutual, Erhard Financial Group - Director of Network Office Supervision
Supervise day-to-day activities of sales force and assistants (@100) including trades, new accounts, outside business activities, correspondence, insurance and investment sales practices.
Handle client issues and complaints.
Perform annual file reviews and branch inspections audits.
Create and present reports regarding compliance supervision.
Member of the Leadership team.
Monitor FINRA, SEC and other investment and insurance regulatory bodies and company policies and procedures.
Train team on compliance issue.
Develop and maintain appropriate books and records.
Report to Home Office quarterly.
USBancorp, Subsidiary of USBank District Compliance Specialist
Supervise day-to-day activities of sales force and assistants (@50) including new accounts, outside business activities, correspondence, insurance and investment sales practices.
Handle client issues and complaints.
Perform annual file reviews and branch inspections audits.
Monitor FINRA, SEC and other investment and insurance regulatory bodies and company policies and procedures.
Develop and maintain appropriate books and records.
Report to Home Office quarterly.
Assistant to the District Manager.
AXA Advisors Operations Manager/ Compliance
Responsible for daily operations and compliance supervision of 40 financial representatives.
HR - Manage office staff of four.
Create and present compliance, policies and procedures to new reps and staff.
Regulatory audits in the field.
Contact this candidate