Sales Manager

Broderick Williams

214-***-**** *********.********@*****************.***

COMPLIANCE RISK ANALYSIS

Internal Audit/Credit Risk Analyst/AML/BSA /Strategic Planning /Management

Dynamic strategist with a proven track record in various areas of Financial Services with the ability to develop strong and productive work relationships as well as possessing a strong skill set involving Leadership, Mentorship, and Productivity. Possessing an innate ability to forge relationships with external business partners are some of the qualities that have been credited for a vast career in my dealings with Relationship Managers, Senior Management, Internal Compliance, Quality Assurance, Production Support, Project Management, Regulators, Analyst, as well as peers.

Risk Analysis

Auditing

Loan Review

Fraud Review

Compliance

Budget Preparation/Administration

Bookkeeping

Tax Accounting

Healthcare Review

Quality Control

Management

Team Building

Professional Experience

Compliance Analyst, 2015 - Present

HD Vest Financial Services – Irving, TX

Completed monthly Credit Watch Report

Manage and monitor the credit risk of customers and distributors, set appropriate credit limits by analyzing financial statements and updates, sales forecasts, and credit scores.

Assess and maintain oversight of the credit risk quality of portfolios.

Coordinate with Recruiting and Licensing departments to ensure the completion of required paperwork in the onboarding process.

Traveled to customers for onsite financial and credit risk analysis which included reviewing financial statements and reporting from outside sources such as Dun & Bradstreet.

Review disclosures and corresponding documents submitted for existing registered representatives and ensure timely filings.

Ensure Firms’ in compliance with regulatory policies and procedures.

Address compliance related questions and inquiries (phone and electronic) from advisors and internal staff.

Assist in the research and resolution of Complaint and Regulatory items including adherence to the required reporting timeframes.

BLW Financial Group, Independent Agent, 2009 - Present

American Family Life Assurance Company - Columbus, GA

Responsible for selling insurance on a voluntary basis at a company’s worksite

Tax and Accounting Practitioner responsible for a bookkeeping and preparation

Provide clients with profit and loss statements, and income statements relating to business returns

Assist individuals and businesses with various tax and accounting issues related to Tax Law

Financial Risk Analyst, National Financial Services & Quality Management, 2009 – 2015

Solomon Edwards Group, LLC – Irving, TX

Credit Risk Analysis and Analytics Development

Operational Risk Analysis and Audit fieldwork in Compliance departmental standards

Maintain an open line of communication with management regarding the status of an Audit Review

Policy and Procedure Assessment and Documentation

Works closely with the Operations, Business and IT departments in resolving operational control issues

Assist with wide range of frontline and backroom processes

Identify and document audit findings through thorough investigations

Banking Center Manager, Assistant Vice President, 2001 – 2009

Guaranty Bank – Richardson, TX

Responsible for daily operations and functionality of banking center.

Increase sales production through aggressive show coaching and target marketing.

Managed all aspects of Internal Audit and Compliance

Conducted weekly Deployment and Assessment Meetings and monthly Sales Meetings

Ensured all products and services are sold and serviced in an efficient and professional manner

Maximized the branches profitability by minimizing risk exposure through detailed action planning

Financial Center Manager, 1997 – 2001

Washington Mutual – Dallas, TX

Managed all retail banking activities.

Established effective customer relationships.

Retained expertise knowledge in a variety of field concepts, practices, and procedures.

Served as an integral member of the sales team.

Build a dynamic sales and leadership team effectively.

Presented retail bank products and services to customers.

Education & Credentials

Master of Science, Public Leadership, 2017

University of North Texas at Dallas – Dallas, TX USA

Bachelor of Applied Arts and Science, Non Profit Leadership and Human Service Management, 2015 University of North Texas – Denton, TX USA

Bachelor of Business Administration, Finance and Business Management, 1996

Midwestern State University – Wichita Falls, TX, USA

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