Financial Services Professional Cover Letter

by Kimberly Sarmiento

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(Name of Hiring Manager, Title)
(Name of Company)
(City, State, Zip)


Dear (Mr. or Ms.) (Last Name),

As an expert in financial services and securities, I offer a track record of achievements in overseeing banking, mutual funds, and brokerage management. I am highly skilled in driving consistently high performance through team building and training activities while also providing exceptional customer service, risk management, and regulatory compliance.

My areas of expertise include AIM cash and transaction review, AIM account disclosure, employee trading in restricted securities, monitoring for trade violations, and licensing and registration. Examples of my work include:

  • Led new accounts approval, online trade review, customer sales complaints, market surveillance, risk management supervisory review, margin and monetary control, trade through violations, and anti-money laundering.
  • Delivered exemplary customer service to discount brokerage clients by executing equity, options, and mutual fund trades, providing stock quotes and market updates and online brokerage support.
  • Managed 10 associates in overseeing billions of dollars in daily money movements, including domestic and international wire transfers, ACH transfers, manual check processing, NSCC settlements, and wire reconciliation.

Leveraging a Bachelor in Economics and credentials such as Series 7 and 63 licenses, I believe my experience in this field makes me an ideal candidate for your open position of (Job Title). As such, I am attaching my resume for your review and would like to request a personal meeting to discuss your upcoming goals and how I can help you achieve them. I will make myself available at your convenience and look forward to your call. Thank you for your consideration.



Sharon Smith