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Executive Assistant Financial

Bucks County, Pennsylvania, United States
April 09, 2018

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

Bensalem, PA *9020 Cell: 215-***-****


Professional Executive Assistant, Office Administrator, and Financial Client Services Administrator with over 25 years’ experience. Diverse experience in: assisting a C-level executive, financial data research, client account responsibility, mutual fund accounting, bookkeeping for multiple entities, investor relations, and general office administration.

Processed over 1,000 insurance appointments annually

Converted payroll to an online web-based system saving costs and eliminating errors

Increased account management productivity by 20%

Multi-tasked in a fast-paced financial environment

Responsible for financial account activity including hedge funds, equities, and bonds

Maintained QuickBooks Pro and in-house accounting systems

Experience with financial litigation issues

Professional Experience

DEPARTMENT OF HUMAN SERVICES, Philadelphia, PA 2016-2017

Foster Parent

Responsible for total care of 2 year old grandson until daughter regained physical and legal custody


Executive Assistant to Senior VP, Chief Compliance Officer

Licensing Administrator

Primary responsibility for managing the Chief Compliance Officer’s calendar and, travel, company insurance policies, organization charts, presentations and responsible for processing insurance appointments for over 800 financial representatives.

Responsible for travel arrangements, calendar management, completing expense reports and check requests

Coordinated annual Errors & Omissions, Identity Theft, and Directors & Officers insurance policies

Administrator for the Insurance Policy Renewal process

Prepared department organization charts using Visio

Prepared and recorded multi-media PowerPoint presentations

Prepared Financial Representative Biography in accordance with ADV 2B regulations

Assigned and monitored the firm’s continuing education program for financial representatives and their support staff

Monitored FINRA continuing education for registered financial representatives

Maintained an online system for financial representatives insurance appointments

Coordinated two department moves, one to a brand new location

Responsible for two (2) hotlines; compliance and licensing


Office Administrator

Primary responsibility for managing the daily office operation of Apex Financial Advisors, Inc. including all financial transactions, scheduling, and maintenance of online files and databases. Converted payroll to an in-house online based system (Intuit) saving approximately $2,000 annually and eliminating payroll errors.

Responsible for all corporate financial transactions utilizing QuickBooks Pro including A/P, A/R, Bank Account and Charge Card Reconciliations, Wire Transfers, Payroll, Simple IRA Plan, taxes, and financial statements

Responsible for client financial transactions with multiple custodians including IRAs and RMD’s

Verified custodian monthly fees against third party reporting systems

Evaluated insurance providers for health, liability, errors and omission, and workers compensation policies

Completed yearly audits for health and workers compensation insurance

Established and maintained the Simple IRA plan, allocating employee and employer contributions

Responsible for all office equipment maintenance and ordering of supplies

Designed and mailed client marketing and event invitations

Responsible for marketing research and maintaining a database of potential clients

Maintained the corporate calendar for client, vendor, and custodian meetings

Prepared all new hire paperwork


Investor Relations Manager/Bookkeeper

Responsible for all investor contacts and requirements including investor accounting. Collected 100% of capital calls from Limited Partners to meet financial deadlines

Prepared and distributed checks and electronic payments for monthly distribution of revenue, interest, and principal payments to Bridge Note holders

Processed periodic capital calls required of Limited Partners and provided a summary of payments

Provided all regulatory information for new Limited Partners

Responsible for website support and administration

Responsible for all bookkeeping for four entities including A/P, A/R, Banking, Bank Account Reconciliations, Wire Transfers, Journal Entries, and maintained the General Ledger

MFI ASSOCIATES, INC., Ardmore, PA 2003-2008

Senior Financial Administrator

Responsible for managing the financial transactions of MFI Associates, Inc. for client and house accounts. Verified the accuracy of all trades, transactions, confirms and mutual fund pricing to ensure the accuracy of “gains ledgers” for all accounts. Reduced financial accounting errors by approximately 25%.

Created and maintained Excel spreadsheets for mutual fund pricing, client account balances and statements, client invoice status, “client-attorney damages”, IRA Required Minimum Distribution calculations, and “Cost of Insurance”

Supervised and trained junior financial client administrators and other research analysts

Prepared weekly and quarterly “Total Return Index” reports and all general ledger entries

Prepared wire transfers, deposits and reconciled client and in-house accounts

Completed new applications for IRA and other accounts

Created trade models for “what if gains ledgers” in support of management litigations

Provided liaison, assistance, and information to outside accounting firms

Maintained production research databases and charts

Prepared research reports on market trends utilizing financial publications and resources

Produced management reports to assist in daily trade decisions

Pre-screened new job applicants for the Research Department


Bachelor of Arts- in Economics, Temple University, Philadelphia, PA

Technical skills

Microsoft Access Microsoft Visio

Microsoft Excel QuickBooks and QuickBooks Pro

Microsoft Outlook Various In-House Accounting Systems

Microsoft PowerPoint QuickBooks Manufacturing

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