Customer Service Sales
Resume:
John R. Stutz *** Lockerbie Lane (
Wilmette, IL *0091
********@*******.***
...Senior Compliance Officer in a Broker/Dealer Investment Advisor
Environment
Success-driven financial services professional equipped with 20+ years of
experience directing operations, administration, and compliance activities
for multiple offices with up to 200 representatives. Holds numerous NASD,
NYSE, and insurance licenses. Offers proven abilities in identifying and
solving problems, making sound judgments under pressure, and coordinating
multiple concurrent projects to achieve accurate, timely results. Displays
an outstanding work ethic and complete discretion in handling
confidential/sensitive materials. Excels as a mentor to junior staff,
developing their knowledge of a broad range of products and services.
Proficient with Microsoft Windows, Word, and Excel
Highlights
. Recruited to serve as director of network office supervision for a
financial/insurance/investment services agency that continuously set the
benchmark for all other agencies.
. Conducted comprehensive annual audits of four regional branch offices'
books and records as well as annual sales practice reviews of 200
financial representatives' client files.
. Improved adherence to a company's compliance procedures by initiating
ongoing compliance training for both new and seasoned financial
representatives as well as surprise annual reviews of all regional branch
offices, a practice that was adopted by other agencies.
Core Responsibilities
. Reviewed and approved the day-to-day activities of 200 financial
representatives and their assistants, including advertising, sales
literature, seminar materials, correspondence, trading activity, new
accounts, 529 plans, incoming mail, outside business activities, and
various exception reports.
. Oversaw anti-money laundering (AML), contract licensing/registration
(CLR), and continuing education (CE) divisions. Served as a liaison to
self-regulatory organizations (SROs).
. Reviewed and approved the trading activity, purchase and sale (P&S),
registrations, licensing, advertising, sales literature, and
correspondence of 50 brokers in three offices. Responded to regulatory
exams, SRO inquiries, and complaints.
. Oversaw the daily activities of 20 operations employees. Managed new
accounts, transfers, and customer service.
. Managed operations/clearance efforts for option market makers and
customers. Supervised 16 operations personnel; monitored P&S, margins,
and stock loans. Prepared financial and regulatory reports (Focus 1 and
2).
Career Path
FinraExamsTutor.com. Group and individual tutoring for Finra exams
preparation Presently
Director of Network Office Supervision, Northwestern Mutual Financial
Network/Investment Services 2003 to 2011
Branch Compliance Manager, First Union/Wachovia Securities (formerly Everen
Securities) 1998 to 2003
Branch Administrative/Compliance Manager, First Chicago NBD, Investment
Services 1990 to 1998
Chicago Board Options Exchange, Goldberg Securities/Options Prior to 1990
Credentials
DePaul University, College of Commerce
4; Registered Options 24: General Securities 63: Uniform Securities
Principal Principal State Law
7; General Securities 27: Financial/Operations 66: Uniform Combined
Registered Rep. Principal State Law
8: General Securities 53: Municipal Principal Variable Annuity
Sales Supervisor License
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