Debbie Newell

DEBBIE NEWELL

**** ******* ***** • Kennesaw, GA *0152

Home: 404-***-**** • Email: *************@*****.***

SENIOR MANAGEMENT PROFILE

Compliance / Operational Leadership /Investment Specialist

Respected senior leader combining broad-spectrum professional experiences in business development, strategic marketing, management and relationship development, staffing and training employees in all areas of the brokerage business, setting operating policies and procedures, client relations/issues and financial administration.

Core competencies include:

• NASD and SEC rules and regulations • Employee Licensing / Relationship Management

• Quality Assurance • Counseling and Training Skills / Coaching

• Recruiting & Staffing Initiatives • Organizational Development / Goal Attainment

• New Hire Orientation • Time Management / Efficiency Planning

• Business Development Specialist

• Interpretation and Application of Laws • High Ethical Standards / Effectiveness Training

• Highly Organized / Attention to Detail

PROFESSIONAL EXPERIENCE

NORTHWESTERN MUTUAL FINANCIAL NETWORK. 2007

Compliance Consultant

Trained Financial Representative assistants’ based on correct file and record keeping procedures. Consulted with Financial Representative on all compliance policies, procedures and issues.

CROSSROADS TRANSITIONAL HOMES. 2005 – 2007

Managing Partner

• Provided housing throughout the Metro Atlanta area for the homeless

• Assisted the homeless in locating jobs and attaining and maintaining financial goals

• Ensured rehabilitation measures were meet with a view of reuniting them with family

• Mentored the homeless through their rehabilitation process

NORTHWESTERN MUTUAL FINANCIAL NETWORK. 2003 - 2005

Director of Network Office Supervision

Under the direction of the Managing Partner, supervised the activities of the financial representatives and their employees with respect to laws, regulations, and Company rules related to insurance and securities sales practices. Includes representatives and employees located in the Network Office/OSJ and associated Registered Branch Offices and detached offices.

• Developed and administered procedures in ensuring that the day-to-day sales and related service activities of supervised personnel complied with all applicable laws, regulations and Company rules, and to detect instances of non-compliance. These procedures addressed the activities in areas of contracting, registration, employment, new account set-up, transaction processing, communications with customers and customer complaints.

• Monitored activities of supervised personnel using computer-generated reports and personal inspections to assess the state of compliance in the Network Office/OSJ and reported findings to the Managing Partner on a weekly/monthly basis. Evaluated instances of suspected non-compliance, (through consultation with the Managing Partner) recommended and implemented appropriate corrective actions.

• Maintained appropriate records in documenting supervisory practices and results within the Network Office/OSJ. Assured compliance with record keeping and reporting requirements imposed by regulatory agencies or the Company, including records of all customer complaints involving supervised personnel.

• Represented the supervisory functions of the management team, recommended and implemented goals, strategies and action plans to improve compliance and supervision within the Network Office/OSJ.

• Primary liaison with the home office on all compliance and sales supervision issues

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CHARLES SCHWAB 1998-2002

Investment Specialist Supervisor

Troubleshooting specialist with a command of retail brokerage, financial operations and administrative branch sales.

• Instrumental in creating aggressive and unique marketing campaigns with key local and regional accounts to increase individualized services to each client and asset/new account target success.

• Implemented operational procedures for branch in ensuring company goals and objectives are achieved.

• Administered and delivered written reviews for branch staff and provided weekly reviews of the financial market through status reporting and investment tracking.

• Supervised and trained account managers and account executives in all company policies and procedures.

• Under the direction of Regional and General Managers shepherded Special projects developing solutions to a variety of complex problems.

EDUCATION

• Maryland University, Maryland, MD – MBA Management

Ongoing

• Kennesaw State University, Kennesaw, GA – B.S. Marketing

• State University of New York, Farmingdale, NY – A.S. Business Administration

LICENSES

• Series 7, 9, 10 and 63.

• Life Health and Sickness Insurance

• Variable Life Insurance

• Notary Public

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