Financial Services Professional Resume

by Kimberly Sarmiento


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SHARON SMITH
555-555-5555 • [email protected]

 

FINANCIAL SERVICES AND SECURITIES PROFESSIONAL

An expert financial and investments professional offers comprehensive experience in banking, mutual funds, and brokerage management. Achieves consistently high performance through team building and training activities. Delivers exceptional customer service and risk management while ensuring complete regulatory compliance. Areas of expertise include:

GENERAL SECURITIES PRINCIPAL – MUNICIPAL SECURITIES PRINCIPAL – REGISTERED OPTIONS PRINCIPAL – REGULATORY COMPLIANCE – TEAM LEADERSHIP – RISK MANAGEMENT – QUALITY ASSURANCE – PROCESS DEVELOPMENT – SIX SIGMA GREEN BELT


SELECT CAREER HIGHLIGHTS

  • Partnered with a host of departments on the global and enterprise level to mitigate regulatory, legal, and credit risk.
  • Worked on options acknowledge letter systems, 405 letter correspondence, RMS MESD letters, MESD supervision new employee presentation, audit, preparation, and SPF/PEP projects.
  • Contributed to special projects such as assisting with the testing and implementation of the Loss-In-Equity System and development of Loss-In-Equity Management Reports using Access Database.
  • Designed an Air Bill Tracking database to record all overnight packages received for PFPC admin/all business units.


PROFESSIONAL OVERVIEW

DIRECT SUPERVISION MANAGER – COMPANY NAME (2014 – 2017)

  • Ensured that employees and clients comply with all applicable securities laws, rules, regulations, and codes of conduct requirements for SEC, FINRA, state regulations and firm policies; as it relates to Sales Practices and Product Supervision for the Self-Directed Line of Business (LOB).
  • 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.
  • Completed AIM Cash/Transaction Review, AIM Account Disclosure, AIM Outside Business Disclosure, Employee Trading in Restricted Securities, FA Trading Violations, and Licensing and Registration.

SUPERVISION AND CONTROL PRINCIPAL – COMPANY NAME (2011 – 2014)

  • Managed and implemented supervisory and operational risk controls as required to meet regulatory requirements.
  • Oversaw client identity program review, active account review and correspondence, loss in equity review and correspondence, large margin account review and correspondence, options losses review and correspondence, trade review and release, sales and operations compliant letters, and mutual fund market timing.
  • Led electronic supervision/surveillance, commission mark up/down, rights accumulation, and sales charge waiver.

BROKER – COMPANY NAME (2010) 

  • 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.

INSTITUTIONAL INVESTMENTS MANAGER – COMPANY NAME (2007 – 2010)

  • 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.
  • Oversaw mail services, document imaging and work distribution, and cash processing.
  • Improved employee work conditions, operational efficiency, and safety by reorganizing workstations.


EDUCATION & CREDENTIALS

BA, Economics – UNIVERSITY NAME / Series 7 and Series 63 Licenses


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