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