Manager Office

Monique L. Tardif

** ****** *****, *******, ** **716 • 203-***-**** • acz8fx@r.postjobfree.com

SUMMARY

• Years of experience working in Operations, Compliance, Information Technology and Client Servicing in the financial services industry

• In-depth knowledge of numerous administrative aspects of financial planning and investment management

• Client-centric philosophy and proactive mindset

• Excellent written and verbal communication skills

• Experience with public speaking and presentations to both large and small audiences

• Experience working with advisors and support staff with diverse backgrounds and skill sets

• Dedicated team player with strong work ethic

KEY SKILL AREAS INCLUDE:

• Ability to learn new software and technology hardware quickly

• Client servicing for high net worth clients

• Problem resolution

• Researching

• Multi-tasking

• Working independently or in within a team environment

• Extensive knowledge of Microsoft’s Office Suite

• Attention to detail and follow-through

• Ability to train and engage while doing so

CERTIFICATIONS

NASD Series 7 Certified, 2002

NASD Series 66 Certified, 2004

Connecticut Notary Public

PROFESSIONAL

09/02-03/17 KR Wealth Management, LLC/Connecticut Wealth Management, LLC – Farmington, CT RIA firm with $560 million in assets under management Client Service Specialist/Compliance Manager/IT Manager

• Worked with a team of advisors including partners to provide account administration and client servicing. Responsibilities included:

o Onboarding new clients

o Client administrative management (attending to all client servicing needs) o CRM maintenance

o Meeting management (tracking, scheduling, agendas, reports) o Book of business reporting

• Administrative responsibilities within the Operations Division included: o Developing, maintaining and training staff on office policies and procedures o Building, implementing and running all office business reports relying heavily on Excel including the creation of macro’s

o Development and maintenance of the firm’s Business Continuity plan

• Compliance/Registration responsibilities included: o Connecticut Department of Banking and SEC Audit support o Document maintenance (contracts, manuals)

o SEC annual amendment preparation

o Annity and Insurance licensing and renewals

o Continuing education coordination

o Developing and maintaining compliance policies and procedures o Ongoing Risk Assessment Analysis

o Ongoing Cyber Security Analysis

o Budgeting/Forecasting

• Technology responsibilities included:

o Resolving all office technology issues

o Research, recommendations and implementation of all new office technology and providers o Review of all current office technology and 3rd party provider due diligence o Training of all new technology (software and hardware) o Handling all new employee and exiting employee technology requirements o File server backup maintenance and restoration

o Reconciliation of invoices

o Budgeting/Forecasting

1999-2002 Galvin Financial, LLC – Wolcott, CT

RIA firm

Administrative Assistant/Office Manager

• Managed all administrative aspects of this financial services firm

• Maintained CRM database, as well as multiple spreadsheets designed to handle data on market orders, commissions, and other financial transactions

• Provided information and problem resolution for clients; dealt with all questions unrelated to financial markets

• Maintained all compliance files to ensure FINRA and SEC compliance EDUCATION

Regis University– Denver, CO

Bachelor of Science in Business, May 2009

OTHER

• Volunteer for the Wolcott Police Explorers Program 2012-2015

• Avid volunteer for animal charities (CT Humane Society, ASPCA, NY Bully Crew)

• Church youth group communications and social media director 2011-2015

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