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Operations and Financial Executive

Location:
Brentwood, Tennessee, United States
Salary:
200,000
Posted:
August 19, 2018

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Resume:

Pleshetta J. Loftin, MBA

PO Box ****, Brentwood, TN 37027 • 2069 Sherbrooke Lane, Nashville, TN 37211

ac6qau@r.postjobfree.com • 615-***-****-mobile

PROFESSIONAL EXPERIENCE

Persistent Capital Partners, LLC Franklin, Tennessee Nov 2017 to Present

Financial Services

To businesses and select individual clients, provide financial advisory services, which includes financial management and insurance products as appropriate.

Presented unique value proposition in assisting with the construction of financing and modeling

Developed comprehensive insurance products using Financial Goal Analysis tool

Meet regularly with clients to develop the purposes strategies

Crown Prospective Nashville, Tennessee March 2015 to Present

Consulting Services

As a consulting firm, assist firms retain their competitive advantage:

Business Growth

Performance evaluation

Implementation and Review of systems: trading, accounting, payroll, etc.

Review of back office operations

Creation and Review of Policy and Procedures

Financial Analyst

Financial modeling

Forecasting

Compass Efficient Model Portfolios Brentwood, Tennessee December 2011 to August 2015

Chief Compliance/Operations Officer

Recruited to assist the firm’s new product launch, which included thirteen mutual funds and five ETFs.

Provided financial analysis of firm’s product lines

Maintain business performance across all functions of the business

Set-up and Managed offshore entities for the firm’s commodities holdings.

Directed the creation of Controlled Foreign Corporations (CFC)

Put in place product training program to confirm sales staff are aware of vital functions of the products the firm offered to the public

Developed an investment committee charter.

Ensured controls were in place as outlined

Collaborated the development of all Fund prospectus

Oversaw all aspects of the regulatory filings – Domestic and International

Realign the firm’s RIA compliance program to be in-line with applicable regulatory agencies – SEC, NFA, State.

Establish, implement and track policies and procedures to meet firm objectives and regulatory demand.

Spearheaded the creation of a subsidiary broker dealer.

Elected as a Member to the Compass EMP Funds Trust Board – which oversaw the legal and strategic direction of the firm’s sixteen 40-Act mutual funds and five exchange traded funds (ETFs).

BBVA Wealth Solutions, Inc./BBVA Compass Bank Houston, Texas March 1999 to Dec 2011

Chief Operations & Compliance Officer (March 2007 to December 2011)

•Business Development – Promote the image and integrity of the firm at client and stakeholder events

•Planning & Strategy – Develop annual performance and financial goals. Contribute operational elements to the Global long term strategic plan.

•Financial – Review and approve all firm financials – Financial modeling

•Worked with the Investment team to develop products

•Member of the firm’s Investment Policy and Strategy Committees

•Team Development – multi-locations - Evaluate, coach and develop existing team; Recruit exceptional talent; Develop succession plans and upgrade the Operations team bench strength.

•Supply Chain – teamed to develop diversified stock and mutual fund products

•Continuous Improvement – Lead the implementation of continuous improvement methodology (Practical Process Improvement).

•Growth and Productivity – Drive volume growth and productivity improvements by implementing Lean and continuous improvement methodologies.

•Supervised the firm’s IT department and network management

Operations and Finance Officer (August 1999 to March 2007)

Senior Financial Analyst (March 1999 to August 1999)

The Credit Coalition (Non-Profit) Houston, Texas January 1998 to February 1999

Director

Variable Annuity Life Insurance Company Houston, Texas February 1992 to August 1997

Retirement Planning Specialist

•Financial Analyst – Analysis of client financials.

LICENSING

Series 7, 66, 24, 53; Life Insurance License TX, TN, PA

EDUCATION

MBA - Global Management

University of Phoenix – Houston, Texas

BBA - Finance and Management (Cum Laude)

Houston Baptist University - Houston, Texas



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