JOSEPH N. GIORDANO

P H . ( * * * ) ***- * * * * J O S E P H G I O R D A N O 1 6 @ G M A I L . C O M OBJECTIVE

Brokerage / Financial qualified professional seeking to utilize my experience and areas of expertise to deliver exceptional Customer service.

SUMMARY OF QUALIFICATIONS

• Ensuring strict adherence to Firm &

Regulatory standards

• Advanced analytical reports

• Annual Compliance Project Management

• Developing strategic Compliance plans,

policies & procedures

• Extensive experience in working with

outside and in- house Attorneys on

Complex issues

• Audited 7 Branch offices on a daily,

weekly, monthly & quarterly basis

• Substantial Client interaction

• Troubleshooting, crisis intervention &

problem resolution

• Internal, Federal & State Audits

• Coordinating resources to ensure

maximum productivity & profitability

RELEVANT EXPERIENCE

PCG Control Specialist V.P – Wells Fargo Advisors 02/2004 to 01/2018

• Branch Manager, Compliance Manager, Administrative Manager

• Experienced with proven results for internal annual audits, regulatory & State audits

• All Customer complaints

• Anti- Money Laundering & Elder Abuse (SAR Reporting) & Fraud Investigation & resolution

• Substantial Client contacts / Active Account reviews for suitability & understanding of account activity

• Successful implementation of procedures to detect activity contrary to Firm & Regulatory standards

• Firm representative in Arbitration’s and Mediation’s with proven results

• Coaching, training and keeping 7 Branch offices current with Firm & Regulatory requirements

• In depth review of Broker activity focused on suitability & taking action when necessary

• Responsible for Supervision in all categories above for 7 Branch offices in 2 States

• Working well under pressure of Multitasks, Workloads & Fast Paced High Stress Environments Additional Work Experience Operations Manager Paine Webber Las Vegas, NV EDUCATION / CERTIFICATIONS

Series 7, 9, 10, 66, 63, Nevada State Insurance License. Staten Island Community College ( Coursework)