Manager Sales

Amy L. Thome ***** Sleeper St, Grand Haven MI ****7

Cell: 616-***-**** • ************@*****.***

Objective To improve upon the knowledge and experience I have gained in the corporate financial sector

Accomplishment

Highlights • 11 years Financial Services experience

• 6 years Operations/Financial Management experience

• FINRA Series 7, 66, 9/10 licensed

• Risk management assessor

• Process implementation

• SOX Compliance

• Conflict resolution, staff management, procedure development

• Supervised 25 employees in financial environment

• Personal history of outstanding audits & operations management

Professional Experience

Director -Branch Administration Manager November 2006 to March 2016

Oppenheimer & Co. Inc.

Grand Rapids, MI

Supervisory oversight of entire compliance and audit operations to adhere to company & FINRA/SEC guidelines;

Management of annual audits;

Official review of daily trading & oversight of all employee conduct;

Review/approve all outgoing money movement; detect/prevent fraud.

Manage the support staff & regulatory adherence;

Monitor/lower monthly branch expenses;

Supervisory review of all incoming/outgoing email & correspondence;

Active participant in all new hires and terminations.

Hired originally as sales assistant, promoted to Operations Manager, then to Director-Administration Manager in my tenure.

Registered Institutional Investment Associate November 2005 to November 2006

UBS Financial A.G.

Grand Rapids, MI

Assisted high net worth client base for Institutional financial advisors;

daily trading, money movement and wires;

daily client service excellence & follow-up;

Completion of all daily operations and trading activity;

Experience with Bloomberg.

Senior Retail Sales-Manager November 1997 to April 2005

Verizon Wireless

Grandville, MI

Direct customer contact, assisting, & retention;

Promoted to Senior sales due to high production & consistently exceeding quotas.

5,000+ personal member customer client base;

worked at four retail locations, & helped open the Holland & Muskegon offices;

technical assistance, email contact/new marketing initiatives to drive business;

Winner of Blackberry award for highest data sales.

Education and Degrees

Bachelor of Administration, International Business, Russian Minor 2008

Grand Valley State University, Grand Rapids, MI

Professional Licenses and Certifications

FINRA Series 7

FINRA Series 66

FINRA Series 9/10

MI Life, Health & Accident Insurance license

Interests

Yoga, hiking, biking, kayaking, wilderness camping, forestry/conservation, international travel, parasailing, learning new languages, meditation, art, culture, philosophy, foreign cuisine, spirituality.

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