Financial Services Manager

MANAGER

AREA OF FOCUS: FINANCIAL SERVICES

QUALIFICATIONS PROFILE

Goal-oriented, dedicated and accomplished professional, with progressive experience in directing and managing all aspects of financial organization including cost accounting, budgeting, analysis and reporting, financial controls, FINRA compliance, and asset management. Possess strong and decisive leadership qualifications, with proven ability to supervise effective teams to efficiently oversee daily operations and improve workflow, efficiency and accuracy. Extremely competent in identifying and developing new business opportunities toward sustainable profitable growth.

PROFESSIONAL BACKGROUND

BANK OF AMERICA - CHARLOTTE, NC 2008-2009

Investment Sales Manager and Vice President

- Rendered hands-on management to a team of investment specialists, and established relationships with existing and prospective Bank of America Mass Affluent customers

- Provided assistance and guidance in developing sales skills of associates in order to meet the needs of customers related to investment and bank products

- Involved in facilitating training for all investment specialist in compliance with standard services enterprise and FINRA for all sales and trading activities for the direct reports

- Accepted new and internal candidates for staff, and established a highly motivating atmosphere for the team

- Surpassed overall sales metrics by adding $62M new investment assets to the bank during the 4th quarter of 2008

E*TRADE -CHARLOTTE, NC 1998-2008

Senior Manager (E*Trade purchased Harrisdirect in 2006)

Vice President and Regional Manager (Harrisdirect –former DLdirect and CSFBdirect)

- Assigned to lead 10 managers, which represented about 150 employees consisting of elite, risk and bank managers

- Oversaw all trading activities including all incoming correspondence within staff team, settlement of trade disputes, complex order education, blotter review, and large trade approval in accordance to the FINRA compliance

- Involved in developing business continuity trading procedures for local office and firm, and in implementing staffing models to ensure high service levels for incoming client correspondence

- Executed hands-on management in the development of leadership/management skills for the direct reports and their staff; known as the expert in ADP and Pershing clearing systems

- Held other positions such as relationship manager, active trader manager, regional manager, and promoted to final role as senior manager

- Instrumental in the development of highly efficient and productive management staff that has obtained and exceeded all stated metrics

- Integral Leader of the E*Trade Elite client tier representing 550,000 accounts with $78B assets, which produced more than $400M revenue

- Implemented a win-back and referral program to relationship management base, which successfully attained a 14% success rate, getting more than $200M assets

- Established overall telecomm routing and reporting to cope with the 5000 calls daily at a 90% service level

- Received an E*TRADE Financial President’s Award in 2007

EARLIER CAREER

R.M. STARK INVESTMENT BANKERS -CHARLOTTE, NC 1998

MET-LIFE -ASHEVILLE, NC 1997-1998

Account Executive

EDUCATION

UNIVERSITY OF NORTH CAROLINA AT ASHEVILLE -ASHEVILLE, NC 1997

Bachelor of Arts in Economics, Minor in Management

LICENSES

Municipal Securities Principal: Series 53

General Securities Licenses: Series 7, 63

General Principal License: Series 24

Options Principal License: Series 4

Equity Trader-Market Maker: Series 55

TRAINING

Completed Achieve Global’s “Managing for Stellar Service” Training

Completed Development Dimensions International’s Targeted Selection

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