Phone 512-***-****, firstname.lastname@example.org, Austin, TX 78745
Investment Professional with extensive experience in sales supervision over advisors through a national network. I am a capable project manager and adept at managing multiple priorities and producing problem solving solutions. I provide expert knowledge of securities regulatory policies defined by FINRA, the SEC and other regulatory agencies as applied to bank and brokerage operations.
I currently hold the following licenses: FINRA Series 7, 63, 8 (9 & 10), 24, 66, 53, and Group One Life and Health Insurance License.
Extensive Sales Supervision and Project Management Experience
Multi-task delivery of solutions to complex multi-faceted issues and challenges
Securities Regulation Expertise
National Financial Partners (NFP)/Kestra Financial LLP, Austin, TX
Sales Supervisor May 2011 – Oct 2018
Account and trade review and approvals over independent advisory business in the retirement planning arena and wealth management business. I was responsible for providing consulting around suitability support for multi-million dollar producers across the country. I was the OSJ (Office of Supervisory Jurisdiction) manager for over 700 registered representatives and provided direction and a high caliber of service to address their needs. I also worked with other departments to provide guidance surrounding operational, compliance, and technical issues.
NEXT Financial Group, Houston, TX
Home Office Principal Mar 2010 – Apr 2011
Investment advice and sales supervision over a network of OSJ managers. I provided guidance and reviewed business practices and direction in order to adhere to recordkeeping and compliance standards established by the company’s Written Supervisory Procedures.
Guaranty Bank, Austin, TX
Sr. Compliance Analyst/AVP Jan 2004 – Dec 2008
Investment sales supervision, implementation of compliance and regulatory standards, training design and development. Creation and development of policies and procedures. Project management design and implementation of process improvement and technical projects.
Charles Schwab and Company, Austin, TX; Phoenix, AZ
Sr. Project Manager and Team Manager II Jan 1995 - Oct 2002
Geographic and cross functional project management, business analysis and process design implementation. Employee development and sales supervision, training design and delivery, technical support management, technical project development and implementation, human resource hiring and performance management.
The University of Texas at Austin: Bachelor of Business Administration: Finance and International Business