Deborah M Riley, MA

**** ******** **, ********, ********, 61109 * 815-***-**** * ad2x43@r.postjobfree.com

WORK EXPERIENCE

STILLWATER FINANCIAL, LLC, Rockford, IL

Director of Client Operations, Mar 2018- present

Continuous service to over 200 investment clients which includes new accounts, distributions, deposits, address changes, beneficiary changes/updates, Required Minimum Distributions

Complete work schedules, manage calendars, and arrange appointment, manage and maintain executives' schedules

Implement financial planning recommendations or refer clients to someone who can assist them with plan implementation.

Guide clients in the gathering of information, such as bank account records, income tax returns, life and disability insurance records, pension plans, or wills.

Coordinate services for events, such as accommodation and transportation for participants, facilities, catering, signage, displays, special needs requirements, printing and event security. PATHFINDER WEALTH MANAGEMENT, INC, Rockford, IL

Chief Compliance Officer, Jun 2002 – Oct 2017

On-going attention to state/federal registration and regular filing deadlines

Continuous service to over 400 investment clients which includes new accounts, distributions, deposits, address changes, beneficiary changes/updates, Required Minimum Distributions

Complete work schedules, manage calendars, and arrange appointment, manage and maintain executives' schedules

Review and analyze new, proposed, or revised laws, regulations, policies, and procedures to interpret their meaning and determine their impact.

Implement financial planning recommendations or refer clients to someone who can assist them with plan implementation.

Explain and document for clients the types of services that are to be provided, and the responsibilities to be taken by the personal financial advisor.

Guide clients in the gathering of information, such as bank account records, income tax returns, life and disability insurance records, pension plans, or wills.

Monitor event activities to ensure compliance with applicable regulations and laws, satisfaction of participants, and resolution of any problems that arise.

Coordinated seminars or workshops on financial planning topics, such as retirement planning, estate planning, tax savings.

Inspect event facilities to ensure that they conform to customer requirements.

Coordinate services for events, such as accommodation and transportation for participants, facilities, catering, signage, displays, special needs requirements, printing and event security.

Inventory and order materials, supplies, and services.

Other duties as required.

MEMBERSALLIANCE CREDIT UNION, Rockford, IL

Special Services Representative, Aug 1999 - Jun 2002 Teller duties

Screened applicants for new accounts, closed accounts, assisted with IRA accounts and CDs. Issue initial and replacement safe-deposit keys to customers, and admit customers to vaults. EDUCATION

TRINITY INTERNATIONAL UNIVERSITY, Deerfield, IL

BA- English/Communications, Aug 1999

UNIVERSITY OF PHOENIX-ONLINE

MA- Organizational Management, Jun 2002

ADDITIONAL SKILLS & QUALIFICATIONS

2004 - present- Eskie Rescuers United American Eskimo Dog Rescue, Inc- foster parent, former director, former transport coordinator

2011- published author- fiction and non-fiction

2017 - Life/Health IL producer’s license

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