Gather and analyze data reports to monitor financial advisors under advisement: ReverseChurning Reports, Performance Reports, High Cash Reports, etc. Perform regularlyscheduled firm audits, gather required documents, conduct branch interviews, reviewdocuments and investigate discrepancies. Update firm policies and procedures to reflectcurrent SEC rules and regulations. Published new marketing rule in compliance with theSEC'S new advertising rule. Review, proof, and approve all firm's marketing materials.Monitor firm staff and investment advisors' emails for compliance; report any discrepanciesto CCO. Perform Best Execution and Trade Error monitoring reports. File 13F reportquarterly with the SEC.

Prepared and executed purchase and sale contracts for clients. Gathered data and marketanalysis to present to clients during scheduled appointments and showings. Negotiatedcontract terms and conditions per client needs and requests. Utilized interpersonal skills todevelop rapport and client trust.

Quickly promoted from legal assistant to Chapter 7 Bankruptcy and Personal Injury CaseManager. Utilized professional customer service skills and discrepancy handling fast pacedand high stressed cases. Communicated effectively with creditors, clients, attorneys, andcourthouse personnel. Prioritized time sensitive tasks, drafted court documents, andorganized weekly meetings to address clientele challenges.

Utilized interpersonal and customer service skills to assist clientele with purchasing journeyfrom initial contact to concluding sale. Leveraged sales software and networking tools toseek out potential buyers. Actively listened to clients to understand pain points and criteria.Assisted clients with trade-in vehicle transactions. Worked proactively to ensure smoothtransactions and first class service that resulted in glowing reviews and referrals.

Operated mannequin-based simulations and assisted medical students in learninginterpersonal skills in one-on-one and group settings. Prepared and maintained sensitivedocuments and organized classroom evaluations.