Securities Operations Specialist

JOSEPH MOORE

*** ****** ******, *** *, Red Bank NJ 07701 C: 732-***-**** ********@*******.*** Career Objective:

Series 7 and 63 registered Financial Professional with 6 years experience in the financial service industry, looking for new exciting career challenges and advancement. I look forward to showcasing my problem solving, organized and detail-oriented skills along with my knowledge and experience to this team and organization to further enhance my skill sets.

Skill Highlights

• Superior organizational skills, and excellent attention to detail

• Productive team member with an eagerness to learn

• Exceptional strength in multitasking, and problem solving resolution

• Ability to master new procedures, protocols and priorities efficiently

• High motivated to achieve, excel and cultivate

EXPERIENCE

Prudential Iselin, New Jersey

Securities Operations Specialist February 2019- Present

• Processing trade requests from Prudential clients and advisers

• Reconciliation of trade related data for prudential advisers

• Prepare account and security updates as well as other data integrity related functions

• Resolving cash and position discrepancies for clients in a timely manner Vanguard Malvern, Pennsylvania

Strategic Coaching Support July 2018-October 2018

• Setting up coaching sessions with associates to work on particular business skills

• Leading daily meetings to talk about market trends

• Assisting in problem solving abstract client scenarios

• Making sure all associates were up to date on policy and procedure changes Vanguard Malvern, Pennsylvania

Client Relationship Associate July 2017-October 2018

• Assisting clients with meeting there financial goals

• Placing hundreds of trades for clients daily

• Working with over 15 different business groups to best meet client needs

• Assisting clients with transferring millions of dollars in assets to Vanguard

• Work with internal advisors to put through transactions for clients Axiom Financial Bloomfield, New Jersey

Intern/Associate April 2016-July 2017

• Updating clients records with their investment totals

• Following up with different investment companies on the status of hundreds of clients investments

• Creating an efficient and effective organized way to update clients portfolios

• Making sure clients were informed of there portfolio changes Education

Montclair State University, Feliciano School of Business Montclair, NJ Graduation: December 2016 BS in Business Administration; Concentration in Finance/Management Cumulative GPA: 3.2 Major GPA: 3.3

• Deans List Spring 2015, Fall 2014

• Relevant Coursework:

o Corporate Finance, Finance Seminar International Business, Portfolio Management, Business Law, Technology in Business, Operations Management ADDITIONAL SKILLS

• Series 7 & 63 Certified, Bloomberg Terminal Certification, Thomson One trained, Proficient in Microsoft Office.

Contact this candidate