Sales Management
Resume:
Pleasant Hill, CA ***** 651-***-****
**********@***.***
Sandra Vehrs
Objective Process-oriented financial services professional specializing in securities compliance. Proven effectiveness in educating personnel regarding regulatory agencies’ rules and regulations and in developing and monitoring company policies and procedures. Strong research and problem-solving ability combined with communication and organizational skills ensures results for management.
Experience 2008 2012 Ameriprise Financial Minneapolis, MN
Senior Compliance Examiner
Inspected assigned advisor branch offices and Offices of Supervisory Jurisdiction to verify compliance with state and federal laws and regulations and with company policies and procedures.
Designed process and procedures for management to track, organize, and approve potential conflict of interest events by financial advisors and registered principals.
Identified compliance issues, wrote action plans for noted deficiencies, followed-up on action plans and escalated issues to the appropriate level of corporate office and field leadership for resolution.
Assessed product, compliance and operational risk assessments to develop and implement risk management strategies.
Ensured field office compliance with FINRA/SEC/State requirements and firm policies and procedures. Delivered training to the financial advisors, registered principals, and the staff in the branch offices and Offices of Supervisory Jurisdiction on these requirements and the firm’s policies and procedures.
Assisted with writing the branch office and the Offices of Supervisory Jurisdiction policies and procedures manuals.
Maintained current knowledge of industry and firm practices, developments and risks. Utilized that information to strategically build/change existing examination program to reflect current risk environment.
Demonstrated ability to build effective, productive relationships with individuals and teams within compliance, as well as internal and external to the firm and leveraged the strengths of those relationships to maintain a robust and relevant examination program.
2003–2008 Clark Consulting Bloomington, MN
Account Analyst
Maintained an advanced understanding and knowledge of nonqualified executive benefit plans, life insurance (modified endowment contracts, insurable interest, and impact of 1035 exchanges or change of insureds).
Communicated the impact of guidance in the areas of taxation, accounting, regulatory compliance, and other legislation to our benefit and insurance plan design.
Coordinated implementation activities between the client, regional sales office, and home office teams responsible for underwriting, agreements, accounting, and documentation.
Conducted regular calls with select region and home office associates to discuss the status of new cases including plan design, accounting, underwriting, and agreement issues.
Served as primary client contact for day-to-day questions regarding client reporting, participant statements, plan changes, and other general servicing related items.
Prepared customized Program Reviews and 1035 Exchange Analysis based on case specific knowledge for a given client.
1999–2002 U.S. Bancorp Piper Jaffray Minneapolis, MN
Assistant Surveillance Analyst
Conducted branch audits and organized the annual branch audit program by revising documents, preparation of audit materials, tracking completion of audits, and compiling statistics.
Acted as liaison between Compliance and sales offices regarding compliance issues related to policies and procedures.
Oversaw suitability review of accounts. Analyzed and monitored trends in order to alert appropriate managers about concerns and to ensure appropriate action was taken.
Handled the review and analysis of management reports reflecting Options profit and loss information.
1996–1999 U.S. Bancorp Piper Jaffray Minneapolis, MN
Registration Specialist
Oversaw the administration of documentation relating to securities licensing and Investment Adviser licensing.
Analyzed, summarized, and edited language to disclosable matters for reporting purposes to regulatory organizations.
Kept current on new policies and procedures established by states and SROs as it pertained to licensing, registration, and renewals.
Education
1988–1991 St. Cloud State University St. Cloud, MN
B.S., Business Administration.
1986–1988 Willmar Community College Willmar, MN
A.A., Legal Secretary.
Credentials
Securities Licenses: Series 7, 9, 24, 63, 66.
Insurance Licenses: Accident & Health, Life, Variable Life & Annuities.
Skills Positive attitude; Organized; Self-motivated.
Excellent interpersonal and organizational skills.
Effective oral and verbal communication skills.
Strong attention to detail; Analytical and problem solving skills.
Proficient use of Microsoft Outlook, Word, Excel, Access, PowerPoint, LotusNotes.
Maintains all business relationships on the basis of integrity and trust.
Proficient use of RegEd.
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