Donna Norian Email & Phone Number

Woodbury, New York, United States

New York, United States

Wilmington , De

Brokerage Senior Manager / Supervision and Controls at Capital One Investing .The following are sample highlights of the value I brought to Capital One Investing:☛ Consistently meet 100% SLAs through directing the day-to-day activities of Principals to ensure accuracy & productivity, ☛ Built and maintained a solid team of licensed FINRA Series 24 professionals, as well as achieving a net promoter score of 100 for people management, two years in a row.☛ Coached Financial Advisors and office personnel in dealing with operational queries, account openings, firm compliance, suitability of investment portfolios.☛ Developed effective training sessions for newly registered Principals, ensuring compliance with COI standards and controls

Syosset, Ny

Throughout my career as Case Manager – New Business at Center for Wealth Preservation, I served as a backup to the compliance officer in a supervisory capacity for variable life, mutual fund, and annuity trades. I complied with procedures to ensure timely submission of underwriting requirements to facilitate the issuance of life / disability policies. I oversaw new life insurance and disability business for the agents and brokers of a Mass Mutual agency while overseeing pending cases and communicating case status with producers.The following are some selected highlights of the value I brought to Center for Wealth Preservation:☛ I negotiated pending insurance cases with underwriters on optimal prices and favorable terms and conditions.☛ I mentored new producers in developing an understanding about underwriting insurance policies.☛ I ensured maximum compliance and adherence to the guidelines of the broker / dealer by scrutinizing applications for completeness and accuracy.

Sheepshead Bay, Ny

Throughout my career as Client Service / Financial Consultant at Banco Popular, N.A., Popular Investments, I maintained and updated an effective contact management system to oversee, organize, plan, and document overall client communications. I administered the largest retail branch of Banco Popular, orchestrated business development strategies, boosted new business, and prioritized client retention. I organized seminars on investment topics to educate bank customers and employees.I collaborated with the wealth management team in identifying and approaching high net-worth clients, capturing markets, and discovering business and sales opportunities.The following are highlights of the value I brought to Banco Popular, N.A., Popular Investments:☛ I supported financial consultants in New York and New Jersey in maintaining branch operations and documentation compliant with regulations and procedures.☛ I cooperated with small business lending group and professional services group, providing life and disability insurance for clients to meet SBA loan requirements.☛ I managed after-sales services and activities, including client confirmation, trade activity, and contract delivery.☛ I mentored licensed branch employees on fixed annuity products, operational procedures, and sales techniques.