Internal Auditor
Resume:
S. RICHMOND LAMB
**** ******* ** ** • ATLANTA, GEORGIA 30307
404-***-**** • ************@*******.***
PROFESSIONAL EXPERIENCE
AIG FINANCIAL ADVISORS/FSC SECURITIES CORP. Atlanta, GA Branch Audit Compliance March 2008 – April 2009
Branch Auditor
Responsibilities included setting audit time and date, travel arrangements and budgeting, conducting on site audits, pre- and post-audit reporting, and final audit reconciliation
Communicated extensively and directly with advisors discussing business plan and development, operations management, policy review, procedure review, and Broker/Dealer SEC/FINRA compliance
Worked independently with extensive travel throughout the Eastern and Midwestern United States
Conducted up to ten office audits per week with up to three per day depending on geographic location
Worked across all departmental aspects with regional management, advertising RIA, surveillance, legal, accounting, registration, recruiting, client service group, and transition
Averaged in the top third of audit team for deficiencies per visit
Consistently led audit team in scheduling and confirming branch audits and planning
CREATIVE MANAGEMENT GROUP, INC. Atlanta, GA Financial Consulting February 2007 – March 2008
Project Manager
Consultant to Financial Advisors in the areas of goal setting, time management, and sales skills
Concurrently managed up to 35 different projects with both individuals and teams
Comprehensive business planning through assisting financial advisors in implementing business growth strategies
Analyzed time management, organization, goal planning and accountability of clients to yield high productivity and profitability
Created strategic marketing plans for clients including target marketing and networking to produce the greatest success rate
Evaluated client team dynamics to include team planning, structure and development to help clients grow and manage a team to incorporate each individual team members greatest attributes and characteristics
SUNTRUST BANK Atlanta, GA Banking February 2006 – February 2007
Financial Services Representative
Discovered, opened, and serviced client accounts to ensure a high level of customer satisfaction
Set and consistently attained goals for the retail branch through daily focus and long term planning
Created and distributed daily and weekly reports on branch operations to Area Manager
Lead and mentor retail office sales by championing On-the-Job-Training for platform operators
MORGAN STANLEY Atlanta, GA Brokerage Firm February 2005 – December 2005
Financial Advisor
Designed and implemented financial plans for clients by offering portfolio analysis and customizing solutions
Offered client services including personal portfolio design, small business retirement planning, and retirement plan analysis
EMPIRE DISTRIBUTORS INC. Atlanta, GA Fine Wine Distribution Sales April 2003 – February 2005
Territory Manager
Responsibilities included meeting personal quotas, monthly marketing objectives and team sales goals
Expanded knowledge base in the retail wine sales industry as well as gained knowledge on outside sales
EDUCATION
GEORGIA INSTITUTE OF TECHNOLOGY Atlanta, GA Graduated December 2002
Bachelor of Science in Management
Certificate in Finance Certificate in Marketing
ACTIVITIES/VOLUNTEER WORK
Phi Sigma Kappa Fraternity President, Chapter Advisor, Alumni Steering Committee, Habitat for Humanity, Boys and Girls Club of Atlanta, Anita LaRaia Wine School, PADI Diver, ALTA Tennis, USTA Tennis, Club Sport Softball, Georgia Tech Alumni Association, Museum of Contemporary Art of Georgia Volunteer, Lake Claire Neighborhood Association.
PROFESSIONAL TRAINING, CERTIFICATIONS & LICENSING
Series 7, Series 66, Series 31, Series 24, Life and Health Insurance, Variable Annuities, Notary Public
SKILLS/APPLICATIONS
Software: Reg Ed, Vision 2020 Front and Back Office, Caesar, Telnet, SNFI, AS400, Xchange, SAP, SPOT, MSOffice, Windows Vista/XP/2000; Programming: HTML, SQL, FTP, WS, Web development, Web-based database applications
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