SUMMARY

Professional Financial Administrative, with more than 10 years of experience in the Financial Services and Manufacturing Industries. Specializing in Back Office Operations, with experience in Financial Services and Insurance, offering versatile office support skills and proficiency in Microsoft Office programs, strong planner; and problem solver, who readily adapts to change, works independently and exceeds expectations. Recognized for providing exceptional service, for which I was rewarded with several promotions at N. F. Clearing, Inc. / Fiserv Securities, Inc.

HIGHLIGHTS OF QUALIFICTIONS

Keen knowledge of front- and back-office logistics – records management, shipping and receiving

Finance-Expertise in Brokerage Operations, Insurance Licensing, NFA-continuing education and credit history, Compliance, Customer Service, Trade Processing-Corrections and Cancelations-Opening and Closing Brokerage Accounts

Compliance- FINRA-U4 and U5 Filings and Transfers, Maintained Insurance and Securities Licensing Laws and SEC Regulations, Reviewed and Forwarded all SILA, NAIC and RegEd notices

Developed close relationships with Brokers and Financial Consultants, which resulted in less broker application rejects and help maintained Branch Operation productivity

Human Resources- New Hire Procedures, Potential Employee Review Criminal background checks, Finger Printing, Employment-Securities disclosure history, U4 and U5 Transfers, Licensing Registration and Expiration dates. Developed efficiency-enhancing workflow process, which resulted in fewer delays with New Hire processing and employee start dates.

SOFTWARE

MS Office –OneNote, Outlook, and Lotus Notes, RegEd. XCHG, FINRA, Stellent Universal Content Management, E-capture, PVCS Project Tracker, People Soft HRIS, SIS BETA, Thomson and CSS Brokerage Systems

EMPLOYMENT

Janney Montgomery Scott

June 2010 – November 2010

Philadelphia, PA

JOB TITLE-Licensing/Registration-Compliance

Janney Montgomery Scott

April 2009 – June 2010

Philadelphia, PA

JOB TITLE-New Accounts/Records-Operations

Wachovia Securities

June 2007 – August 2008

Richmond, VA

JOB TITLE-Senior Specialist-Regulatory Trade Support

Fiserv Securities, Inc. – N.F. Clearing, Inc.

January 1999 – March 2006

Philadelphia, PA

JOB TITLE-Compliance Specialist-Regulatory Trade Support

Professional Education

University of Phoenix Bachelors, Business Management 2012 - 2014 Diploma

New Horizons Computer Center Microsoft Access 2000 2001 Certificate

Firm Element AML Training Certificate

Janney Montgomery Scott LLC June 2009 / October 2009

Wachovia June 2007