Manager Sales

Rina Echavez

Email: **********@********.***

Address: ***** ******* ******

City: Los Angeles

State: CA

Zip: 90049

Country: USA

Phone: 310-***-****

Skill Level: Experienced

Salary Range: $120,000

Primary Skills/Experience:

See Resume

Educational Background:

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Job History / Details:

RINA ECHAVEZ

OBJECTIVE

Seeking a challenging opportunity to utilize the full range of my proven capabilities, making key contributions to corporate profit improvement.

PROFILE

A senior level financial services professional with more than 18 years broker-dealer and registered investment advisor experience contributing to revenue growth and profit generation through outstanding skills in branch management and operations, personnel development and administration, sales and marketing, and client relations. Proven effectiveness in balancing client satisfaction and implementing cost effective, efficient, and profitable business practices minimizing risk and strengthening client loyalty. Valued by colleagues for excellent team spirit and enthusiasm with focus and commitment to accomplishing company goals and objectives.

KEY STRENGTHS

Client Relationship Management/ Account Retention/ Problem Resolution/ Time Management/ Product & Service Knowledge/ Cross Functional Team Building & Motivation/ Planning & Organizing/ Personnel Training & Supervision/ Revenue Growth/ Compliance/ Due Diligence

FINRA LICENSES

Series 6,7,8,55,63

PROFESSIONAL EXPERIENCE

Aletheia Research and Management, Inc.

First Vice President, Client Service

July 2001 - January 2013

Part of the core team that bolstered the company's growth from approximately $50 million in assets under management in 2001 to about $10 billion in 2008.

Responsible for administration, development, and retention of broker dealer clients with, at its peak, about $700 million in assets and 675 accounts and two hedge funds with about 225 investors and over $180 million in assets. Organized and prioritized large volumes of client inquiries and requests utilizing expertise in new accounts, margin/risk, asset servicing, compliance, funds cashiering, and other support functions.

Responsible for monthly rebalancing and daily reconciliation of hedge funds taking into account investor contributions and distributions. Produced quarterly hedge fund statements for investors from 2001 until it was outsourced in early 2009 due to volume and fund size.

Effectively implemented asset allocation changes for five portfolio strategies affecting separately managed accounts and hedge funds.

Facilitated periodic preparation and distribution of customized investment performance reports, asset appraisals, and profit and loss statements for high net worth clients. Scheduled and coordinated periodic client meetings with clients, consultants, and portfolio manager.

Prepared individualized marketing presentations for consultants and prospective clients.

Assisted in data and information gathering for periodic reviews by internal auditors and regulatory agencies such as FINRA and the SEC. Worked closely with Compliance Officer to ensure firm compliance with established standards and rule requirements as it pertains to new accounts, account documentation, client suitability, and branch correspondence.

Received client commendations for efficiency and going above and beyond resulting in increased client satisfaction, loyalty, and repeat business.

First Union Securities, Inc.

Branch Operations Manager

Registered Portfolio Administrator

July 1994 - July 2001

Successfully launched new branch office bringing in 12 top producing financial advisors and sales assistants. Achieved a 98% success rate in transferring accounts from previous firms.

Managed support personnel in four branch departments: administration, new accounts, wire room and cashiering.

Trained, coached and mentored newly hired registered portfolio administrators and financial advisors in ILX, Beta, and various proprietary IT systems and platforms.

Collaborated with branch sales manager in hiring, training, supervising and evaluating client service and operations personnel, promoting a high degree of morale and organizational citizenship.

Developed and implemented policies and procedures to increase branch productivity and ensure audit compliance.

EDUCATION

Bachelor of Science in Business Management

Pepperdine University, Malibu, CA

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