Diana I. Guzman

acwslw@r.postjobfree.com *** Brickell Ave Unit 3804, Miami FL 33131 516-***-****

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SUMMARY

Financial Licensing ~ Regulatory Controls ~ Organizational Leadership

Highly ambitious and perpetually driven, bilingual professional with a proven track record in the high-pressure financial services

industry. Extensive work experience and in depth practical knowledge of the financial industry garnered through a variety of positions

within globally recognized organizations. Demonstrates rich financial, analytical and collaboration skills. Avidly seeking a position that

leverages my proven ability to deliver outstanding results while taking on new challenges and learning opportunities.

PROFESSIONAL STRENGTHS AND ABILITIES:

Fluent in Spanish, Project Management, Portfolio Analysis, Customer Relationships, Regulatory Compliance, Computer Skills

PROFESSIONAL EXPERIENCE

12.15 Present

AXA US: Lead, Regulatory Controls Jersey City, NJ

Provide a high level of analysis and maintain quality control while enforcing and updating both state and federal regulations.

Serve as a liaison between FINRA, state government entities and financial professionals. Organize, record, and analyze

biweekly and monthly audits to ensure license, LTC, annuity, and indexed products are properly documented and in

compliance. Compile a monthly general report of all audits performed. Analyze activity of the department, offer feasible

improvements and submit reports, along with relevant analysis, to Field Operations. Conduct daily NY and NJ Agency License

registrations as needed. Maintain and assign compliance supervisors for all registered remotely working employees throughout

the entire organization. Actively apply knowledge of SEC, FINRA, and State Department of Insurance regulations to assure

the firm and applicable agents are in compliance. Function as an accessible and comprehensive source of information and

guidance for peers, as well as the preferential resource for new hire training. Consistently chosen to work closely with senior

leadership and inter-departmental teams on various specialty long-term projects.

11.13 12.15

AXA US: Senior Analyst, Licensing and Contracting Jersey City, NJ

Provided high level customer service and support to branches across the United States. Actively applied knowledge of SEC,

FINRA, and State Department of Insurance regulations to assure agents are in compliance. Functioned as an information

source and quality control expert. Provided guidance, training, and wrote procedures for the department. Worked closely with

senior leadership team on long-term projects and newly implemented programs for brokers and agents.

2.10 11.13

Morgan Stanley Wealth Management: Client Service Associate New Brunswick, NJ

Promoted to Client Service Associate after 11 month internship. Overlooked client interactions, money transfers, litigations,

IRA accounts, and portfolio analysis. Contributing member of executive team responsible for high net worth clients, with a

total portfolio totaling over $100,000,000.00. Required to quickly gain and maintain knowledge of market trends, client

financial planning and internal affairs through hands-on experience and guidance of boss/mentor. Honed analytical skills and

discovered more efficient ways to collect and organize data via extensive portfolio analysis.

NOTABLE ACHIEVEMENTS AND LEADERSHIP EXPERIENCE

AXA US:

Responsible for processing 23% of all hiring paperwork in 2015, equating to nearly a quarter of the 11 person team.

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Developed processing procedures for the new Registered Sales Assistant Broker and Branch Digital Advisor

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programs. Currently overlooks the hiring and licensing of all individuals within these programs.

Continue to be the first choice for training all new hires within the Branch Support team by creating specialized

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curriculum for each new hire depending on their specific set of skills and deficiencies.

Designed and implemented a firm NRF Clean Up project alongside the Project and Branch Support Teams.

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Consolidated the extensive procedure for processing Non-Registered Fingerprints by finding most efficient practice

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and created comprehensive guide that is still in use throughout the company.

Served as a liaison for inter-departmental projects, collaborating with 10 teams totaling over 50 people

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Morgan Stanley Wealth Management:

Prepared a financial analysis for a former NY Assemblywoman by customizing various reports to meet the state

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regulations and produced a transparent representation of the $40 million dollar portfolio.

EDUCATION

Class of 2013

Rutgers, The State University of New Jersey New Brunswick Campus

Dual Degree: B.A. Economics and B.A. Political Science

Spanish Minor

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