Amanda Michalec

Financial Professional

Profile

Accomplished financial professional with the unique ability to be a leader, role model, coach, and mentor. Successful track record of increasing team performance productivity.

Professional experience includes work as a

Regional Director, Executive Assistant to the

CEO and National Sales Director, Project Manager, Compliance Analyst Branch Exam

Details

ad20jf@r.postjobfree.com

27595 IH 10W

Boerne, TX 78006

210-***-****

https://www.linkedin.com/in/amanda-michale

Auditor and Fixed Income Trader.

CORE COMPETENCIES

20+ years’ experience in Banking and Finance

Strong decision-making skills

10+ years’ experience in Project Management

Strong verbal and written communication skills

8+ years’ experience with team building and mentoring employees

Proficient Microsoft Word, Excel, and WebEx products

2+ years’ experience performing compliance exams/audits

Excellent customer service and relationship skills

Results driven exceeds expectations

Proficient in data analysis

Employment History

Compliance Branch Office Examiner at Atria Wealth Solutions, Houston Texas

11/2021 – 08/2023

Initiated, performed, and executed 70 plus audits a year for OSJ’s (Office of Supervisory Jurisdiction) and representatives strategically planning each week utilizing daily agendas to manage timelines.

Implemented individualized training sessions with advisors upon identifying audit deficiencies, resulting in a 30% decrease in repeat deficiencies and improved overall audit quality.

Ensured that all representatives were compliant with firm policies, regulatory rules, and statutes.

Analyzed existing processes and identified inefficiencies during branch exams, resulting in less paperwork and better time management.

Utilized firms’ tools and other resources to streamline communication creating a reduction in response time.

Executed Branch Exams with a high degree of confidentiality while handling of sensitive information.

High Net-Worth Specialist Manager at Victory Capital, San Antonio Texas

3/2021 – 08/2021

Hand-picked by management to build a support desk for representatives working with high-net-worth clients.

Created new processes and procedures implementing them with the team resulting in a 30% increase in productivity.

Mentored representative’s by being an educational resource and liaison between internal and external customers.

Managed fifty to a hundred service-related cases daily to include account inquires, account research and account issue resolution.

Reviewed and refined each representative’s business plan to ensure all monthly/quarterly/ and annual goals were attainable.

Analyzed each representative’s book of business to uncover new investment opportunities achieving an increase in revenue of 15%.

Compliance & Business Analyst with Project Management Oversight at USAA (contract employee), San Antonio Texas

03/2019 – 01/2021

Ensured risk and audit issue were being handled promptly to meet compliance guidelines.

Directed five projects that mitigated risk on process and procedural issues.

Collaborated with experience owners, subject matter experts and control specialists documenting UDA’s (User Defined Applications) ensuring each UDA had proper controls, risks, and procedures that resolved issues and gaps.

Integrated and updated procedures to be compliant with governing body standards.

Implemented Knowledge Delivery (KD) and created procedural process controls to instill data integrity with the operations department.

Established project development deadlines and reviews of the FDIC, SEC, OCC, FINCEN, FINRA, Reg E, Reg C, Written Supervisory Procedure (WSP’s) and Anti Money Laundering regulations.

Internal Regional Director-Executive Assistant at Investment Professionals, Inc. (Ameriprise Financial), San Antonio Texas

03/2010 – 02/2019

Calculated and provided metrics for the firm on a daily, monthly, and annual basis utilizing excel spreadsheets and pivot tables to illustrate the firms accounting data metrics.

Managed 65 registered representatives exceeding 100% monthly/annual sales goals.

Mentored and coached representatives using performance improvements plans (PIP’s) as well as additional training.

Devised and implemented the new vendor portal for team leaders and co-regional directors.

Incorporated changes in Federal and State regulations to ensure processes and procedural compliance were up to date.

Implemented projects for seminars, vendor management training, branch training, and compliance reviews to meet regulatory standards.

Conducted audit reviews analyzing each registered representative’s book of business ensuring transactions were compliant.

Education and Training

FINRA Licenses (Investments): Series 7, Series 63, Series 24, and SIE

University of Texas at San Antonio, & San Antonio College (117 College Credits)

References

Eric Inman 210-***-****

Amy Hogan 713-***-****

Curtis Havel 210-***-****

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