- Supervise 57 Financial Advisors and provide consultation regarding firm and regulatory policies and procedures for the Rocky Mountain Region- Signed off on annuity and life insurance new business, taking liability regarding the suitability of transactions and attesting that all information is presented accurately- Perform annual audits of all Advisors under supervision books of business to ensure proper procedures are followed along with ensuring all advisory accounts are in good order- Responsible for training all Advisors under my supervision on any new changes to regulations or firm policies- Publish websites for the entire Central Mountain Complex, ensuring all information regarding advisors is accurate and all appropriate disclosures are maintained- Mitigate legal liability and fines brought against advisors and the firm due to violation of national cold-calling FTC regulations in addition with any other applicable FINRA rules- Run Bi-weekly meetings with the Executive Vice President to provide insights and updates regarding Advisors business as well as retrieving data regarding distributions and other various reports across the Rocky Mountain Region.

• Working cross functionally with engineering, product, and executive team to improve the platform• Working extensively in looker software and with our data teams to improve available data metrics• Worked closely with Apex Clearing and other vendors to build out the international and trust account application process for the firm• Assisted our back-end trading team with adding new securities to the platform and with customer credit balance recoveries• Perform principal supervisory duties for compliance, including final application reviews, high-risk individual list review across existing accounts, and creating the securities sellout list

Coaching and developing team managers and team leads on appropriate responses to escalated client situations• Working cross functionally across middle and back-office teams for business process improvement and client issues• Assisting the executive team on high profile client cases and regulatory matters• Creating new processes and updating standard operations processes to reflect current procedures• Hold Series 24 license - General Securities Principal designation

• Addressing customer inquiries regarding margin, margin calls, pattern day trading, corporate actions, and equity transactions• Developing newly hired associates and representatives through shadowing and mentoring• Working on a specialty team to bring about change to internal process ideas brought forth by fellow team members• Assisting other representatives with client related issues and questions regarding internal procedures

• Assisting clients with general account restrictions, information updates, and cash management product inquiries• Awarded with highest customer feedback survey score firm-wide in August 2020• Obtained registered representative designation through SIE, Series 7, and Series 63 licensing

- Utilization of various accounting software for bookkeeping, individual tax returns, and business tax planning.- Worked closely with the firms CPA with the filing system and internal control mechanisms.- Ensuring all taxable amounts and governmental withholding reflected the stated amount and are transcribed correctly before filing.- Assist other finance and accounting team members with a variety of tasks, ranging from data entry to statement review.- Gained greater knowledge and hands on experience in the accounting field during the busiest season.

- Furthered my knowledge of building client relationships and maintaining current relationships- Meeting with prospective clients to identify their current and future financial needs and goals- Performing a financial needs analysis to make recommendations to help clients achieve their financial goals- Setting personal schedule along with working in conjunction with company Financial Advisors for set appointments- Using the CRM platform to manage client information to maintain sensitive client information and documentation- Obtained proper Industry licenses required to perform daily job duties

• Work in a team environment to support Wells Fargo customers achieve their financial goals• Helped develop and implemented new strategies to improve the customer experience• Ensuring that bank policies and procedures are followed while running transactions efficiently• Develop self-driven incentives goals to ensure highest quality of service for clients• Ensuring sensitive customer information and documentation are properly secured• Participates in Wells Fargo training programs for safeguarding information and how to properly support customers financial needs

• Provides support and assistance to clients regarding their financial goals.• Develops proactive team strategies to exceed sales and customer service goals• Achieves Platinum sales goal for Q3 2018 by surpassing sales expectations• Works with and safeguards sensitive and confidential client information• Acquires knowledge of banking policies and government banking regulations• Handles financial transactions in an efficient and accurate manner• Participates in in-depth training related to banking rules, regulations and protocols• Provides management with timely updates regarding sales and service performance

• Provided customized fitting solutions to improve customers golf experiences. • Implemented new strategies to improve the customer experience with a select team of co-workers.• Recognized for high standards in loss prevention. • Worked in a commission-based sales role.

Participated in an on-site team project that offered social media solutions to a business challenge presented by senior management.Researched extensive background data and information on demographics, company history, and competitors strategies to recommend the best options to implement within their social media strategy.Reviewed company website analyzing data from a talent recruitment perspective.Presented feedback and recommendations based on research and strategic analysis.Worked in a team of three to solidify recommendations and feedback for Banker’s Trust senior management.