Manager Assistant
Resume:
KIRSTEN PERMENTER
Houston, Texas 77042
Qualifications
Over thirty years of experience covering many facets of the financial
industry. Strong administrative skills that significantly increases office
productivity along with the ability to work well under pressure, with
minimal supervision, while utilizing extraordinary multi-tasking skills,
which enables me the ability to create, implement and maintain a system of
prioritizing assignments, allowing for an efficient workflow.
Summary of Experience
Positions have ranged from an Office Manager, Operation's Manager, Branch
Manager's Administrator, to a Junior Broker/Investment Associate/Assistant
and Commodities Trader,
Professional Experience
UBS Financial Services, Inc. February 2012 - Present
5065 Westheimer Road, Suite 1000
Houston, Texas 77056
I was the exclusive assistant to a husband and wife team through February
2014. I had heavy client contact to ensure all aspects of their needs were
met efficiently and in a timely manner. I engaged regularly with client's
CPAs as well as their Attorneys if the need arose. I prepared performance
reports for each review meeting the financial advisors scheduled with
existing clients.
From March 2014 until present I have been splitting my time as the
assistant to a two partnerships, generating approximately $4MM in annual
gross compensation with the additional duty of covering the
operations/cashiering duties of the cashier while she is out on extended
medical leave. My operations duties included but were not exclusive to the
following:
Opening the incoming mail, ensuring compliance regulations were followed in
handling of ALL client correspondence.
Making the deposit of all checks to their designated accounts.
Ensuring proper handling of all "local check pickup".
Scanning in all documents to their proper destination on a daily basis.
Keeping the vault Excel log updated daily and sending it to our Operations
Manager.
Personally greet clients coming in to make deposits and giving them
receipts for their checks.
Completing the branch deposit on time daily.
Checking outgoing correspondence for compliance copies and ensuring they
were reviewed prior to filing for auditors to review.
Handled the outgoing mail by running through the postage machine and
ensuring it is delivered to the mail station on time daily.
Covering the switchboard operator as needed.
Booking the office calendar for breakfast and lunch meeting the Wholesalers
were hosting which included ordering lunches for each meeting.
Ford Investment Management, LLC August 2011 -
February 2012
4119 Montrose Blvd., Suite 460
Houston, Texas 77006
Office Manager/Sales Assistant
Ford Investment Management, LLC is new start-up independent firm using and
clearing through LPL Financial. Office Manager and Sales Assistant to the
founder, Bo Ford. Office was closed and merged with another partnership
late February 2012.
Office Management
. Created and implemented office management infrastructure,
including documentation and data configuration management processes.
. Created and implemented compliance processes necessary to
ensure compliance with financial industry requirements.
. Maintaining Quick Books
Registered Sales/Administrative Assistant
. New account, transfer and document processing
. Ensured client satisfaction through heavy and constant contact
with current and potential clients.
Barclay's Wealth Management
1301 McKinney Street
Houston, Texas 77010
Analyst
June 2010 - August 2011
. Assistant to Operation's Manager, Starla Kramar.
. Our department covered the Houston and Dallas' High Net Worth
Advisors and their Assistants
. Back-up Operations for San Francisco
. Directly approved ALL outgoing wire transfers
. Daily trade blotter review
. Processing and approving all incoming and outgoing
correspondence
. Scanned and logged in ALL account documentation and ensured
approval of said documents
. For the Advisors without assistants, provided sales assistance
when needed
. Cashier
. Back-up trade processor
Green Financial Group, LLC
6363 Woodway Drive, Suite 870
Houston, Texas 77057
Office Manager/Registered Sales Assistant June 2009 - June
2010
Green Financial Group is an independent investment firm using and clearing
through Raymond James & Associates platform. Office Manager and assistant
to the Founder, Jeff Green, two additional Principles and one Financial
Advisor. Within six months of taking position received outstanding first
audits of all three branches.
Office Management
. Created and implemented office management infrastructure,
including documentation and data configuration management processes.
. Created and implemented compliance processes necessary to
ensure compliance with financial industry requirements.
. Responsible for the front office reception staffing, ordering
of office supplies, maintenance of office equipment and any other
tasks related to the day to day operation of the office to ensure it
operated efficiently and productively in all areas.
. Administrator for three separate branches housed within the
same office. Maintained separate branch record keeping systems;
ensuring each branch's files were maintained in accordance with
corporate and compliance policies and procedures.
. Daily review and monitoring of compliance reports for each
branch. Open, screen and distribute mail and faxes, identifying and
ensuring proper disposition of correspondence in accordance with
compliance procedures.
. Handled basic bookkeeping responsibilities for the founder,
Jeff Green and maintenance of Excel Spreadsheets for personal and
professional Accountants.
. Processed invoices and checks for payment of services.
Provided detailed monthly billing to each branch.
. Calendar and conference room coordinator. Organized the menus
for all breakfast and lunch meetings.
Registered Sales/Administrative Assistant
. Securities Trading
. New Account opening and documentation processing
. First point of contact for clients
. Took independent action on handling requests to determine the
appropriate course of action
. Coordinate the compliance approval and distribution of web, e-
mail and paper marketing of news material for clients and prospects
. Coordinate and administrate birthday presents, wedding
anniversaries flowers and annual holiday card mailing for all
financial advisors
. Copy or scan, collate and bind documents/presentation packages
. Maintenance of all copied, filed and scanned documents
Fruth Investment Management, Inc. June 2008 - Present
Registered Administrative Assistant
Assistant to the Owner/President, the technical analyst and the firm's
Compliance Officer/Office Manager. In charge of opening the office each
morning and completing the firm's downloads and reconciliations from TD
Ameritrade and Charles Schwab. Reviewed client files for total compliance,
documentation and scanning. Began a comprehensive manual of administrative
procedures for the office manager and was instrumental in having ACT
installed the fall of 2008. Assisted the office manager with the completion
of the quarterly reports, billing, reconciliation, fee payment and sending
out each quarterly client letter. Responsible for screening all calls,
being the first contact with clients and potential clients. Completed all
administrative needs that arise; from opening accounts, estate settlement,
check/wire requests, tax information and researching all inquiries.
Interfaced with TD Ameritrade and Charles Schwab's Portfolio Center
software and back-office personal. Enter trades and allocation of trades.
UBS Financial Services, Inc. March 2004 - May 2008
Senior Registered Client Service Associate
Assistant to two Vice President - Investments, and one Associate Vice
President - Investments. Responsible for all administrative aspects of
being an assistant with the additional duty of both commodity and security
trading. Heavy and constant contact with current and potential clients,
while responding efficiently and promptly to client inquiries, requests and
concerns both verbally and in writing. Available to less seasoned
assistants for questions or training. Worked with the dedication of
providing the highest quality of service in partnership with the financial
advisors and clients, to define their current and future needs with the
understanding that client service is the core value of the business.
Edward Jones August 2003 - January
2004
Registered Administrative Assistant and Office Manager
Heavy client contact both by phone and by walk-in. Responsible for all of
the day to day operation's management Booked appointments, assisted with
presentations and account opening and maintenance. Completed daily banking
receivables, payables and balancing of office accounting and reported it to
the home office on a daily basis.
Morgan Stanley August 1999 - August 2003
Registered Sales Assistant
Ensured client satisfaction through heavy and constant contact with current
and potential clients. Performed assistant and administrative duties in
addition to trading. Lead contact for the Cashless Stock Option Exercising
for two large, local Texas companies. Responsible for processing all stock
option exercise orders and paperwork. For Executives also completed and
submitted Rule 144 documents to the exchanges as deemed appropriate by the
SEC. After 9/11, instrumental in obtaining replacement certificates
destroyed when vault fell through to basement of building.
Licenses
Series 7 & 63
Series 3 - Commodity License
Rule 144 and Cashless Stock Option Financing
Technical skills
In-house brokerage systems, Microsoft Office Suite, Windows applications,
Word Perfect, ACT, Microsoft Outlook, Microsoft, Power Point, Quick Books
and Lotus Notes
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