Responsible for identifying and closing new business opportunities, and monitoring new business transitions to ensure a smooth and pleasant customer experience. Responsible for campaigning throughout the region attending conferences, networking events, and various meetings to expand Millennium’s sales production. Consistently exceeded sales expectations as a part of the leading sales team at Millennium Trust Company’s Alternative Solutions Group.  Developed additional sales experience by selling leading edge custodial financial services to advisors, companies, funds, and platforms. Specialize in Self Directed IRAs as well as Fund Custody services

Responsible for the strategic design and implementation of quality control programs & processes to ensure flawless execution of key asset recovery processes. Perform asset recovery compliance, quality control, and audit readiness duties including but not limited to, audit testing, action plan design, remediation, and validations as a result of internal and external audits, regulations, and policy changes.  Expanded risk management and quality control skills by managing the compliance / default control function of the asset recovery department.

Co-created and managed the sales and marketing functions of Global IRA which specializes in the facilitation of purchases of international real estate using IRA / 401k accounts through Self Directed IRA Custodians. Duties included set up of applicable Self Directed accounts; coordination between clients, attorneys, brokers and escrow companies; review of required documentation for all transactions ensuring they are in compliance with IRS code and local laws using both inside and outside counsel; and creation and maintenance of all company policies and procedures. Developed entrepreneurial experience developing a self directed advisory firm to facilitate the purchasing of real estate within IRAs and 401ks.

Managed Compliance Department of a self directed retirement custodian and partnered with the Marketing department to achieve the company’s full sales potential, while remaining compliant with all applicable rules and regulations. Duties included but were not limited to: training of all company staff in all sales and compliance related subjects, policies and procedures, regulatory rules and regulations; responding to customer service department questions regarding complex regulatory issues; review and approval of responses to customer complaints; examine required documentation for all accounts and asset types; review of all new transactions for processing; directing operations department regarding processing; ensuring proper tax reporting; evaluate all potential prohibited transactions and unusual activity; assess and respond to all legal actions using both inside and outside counsel; creation and maintenance of all company policies and procedures; editing of custodial agreement and disclosure statements as well as creation and maintenance of all company applications, forms, and legal documents.  Developed extensive sales and risk analysis skills by managing the risk / compliance function of this self directed IRA Custodian by partnering with the Marketing department and performing an operational assessment to bring sales to their full potential while reducing risk.

Assisted in the supervision of asset management staff while managing REO assets of the bank’s portfolio; created offering and marketing materials for sales to investors and trained sales staff on sales of assets; created sales presentations for larger investors to assist sales staff; marketed and sold fictionalized assets to investors; modified existing policies, procedures and business model to adapt to the changing market conditions and the status of assets; implemented workouts of troubled assets. Continued to develop strong managerial, sales, and asset management skills in the commercial real estate market. Maintained Professional Real Estate Agent license, and a Notary Public Commission.

Assisted in the supervision of underwriting/origination/sales staff while underwriting and funding 500 million dollars of new commercial loans for the bank’s portfolio; created offering and marketing materials for sales to investors and trained sales staff on sales of assets; created sales presentations for larger investors to assist sales staff; marketed and sold fractionalized assets to investors; modified existing policies and procedures and business model through risk analysis to adapt to the changing market conditions as well as investors’ interests. Continued to develop strong sales, risk analysis, and underwriting skills in the commercial real estate market. Maintained Professional Real Estate Agent license, and a Notary Public Commission.

Managed operations of escrow department including both internal and external personnel at a third party loan servicer; developed, tailored, and implemented escrow and note sale policies & procedures; supervised over 500 escrow transactions totaling 200 million; met increasing market demand while maintaining client needs by expanding service and support staff; changed policies & procedures to streamline the escrow process to decrease errors as well as processing and transaction time. Continuing development of strong managerial skills, identification of risk and weakness within policies, procedures, and departmental restructuring.  Maintained series 7, 8, 63, 52, and 65 financial professional licensing, obtained Real Estate Agent license, and a Notary Public Commission.

Marketed and sold self directed retirement accounts for self directed custodian, specializing in Real Estate, Trust Deeds, Private Securities, and other unique style retirement assets. I managed over 3,500 accounts for the IRA Custodian (doubling the account base during my tenure), constantly leading continuous calls from clients, tax attorneys, fund managers, and loan companies.  Consistently surpassed all sales goals by increasing account base by facilitating opening of new accounts.  Developed extensive knowledge about the rules and regulations regarding the self-directed retirement asset industry through complex, varying, and numerous transactions. Maintained series 7, 8, 63, 52, and 65 financial professional licensing.

Developed, tailored, and implemented individual financial plans; structured tax advantaged strategies for the purposes of wealth management; directly managed assets of over 30 million; supervised administrative support staff to aid and grow investor base. Developed and managed strong, profitable client relationships through tracking, consultative selling, and appropriate follow-up. Consistently surpassed all sales goals by constantly increasing new account base.  Maintained series 7, 8, 63, 52, and 65 financial professional licensing.

Developed new business through networking and cold calling; promoted to assistant branch manager in 2001 to lead a team of brokers to grow their assets, manage client relationships, and make sound investment decisions; launched new programs and service offerings to meet client needs. Grew assets under management from zero to approximately $5M in the first year, $16M in the second year, and $40M in the third year.  Cultivated more than 30 accounts in my first month through cold calling and networking. Member of one of the top-grossing corporate sales teams, generating annual team revenue of more than $1M. Reviewed daily activity reports to evaluate staff performance.  Marketed services to target groups including high-income members of target professions and members of certain professional and social clubs. Obtained series 7, 8, 63, 52, and 65 financial professional licensing.