Hernandez Maria Email and Phone Number

ResponsibilitiesDevelops and establishes sales goals for International Financial Advisor staff. Motivates FAs to increase sales with member companies, promote/sell investment products and services, and provide outstanding member service. Assesses sale performance of assigned FAs and regularly communicates performance results to FAs. Conducts sales staff meetings and addresses/suggests methods to handle performance problems. Determines and implements adjustments required to meet or exceed annual goals.Coaches and trains IFAs in service and sales strategy skills. Communicates corporate mission and direction to assigned IFAs.Conducts regularly scheduled staff meetings within the assigned team to assist FAs in meeting established goals and to introduce new promotional products and services. May assist in the creation of short-term contests or promotions to increase productivity and/or sale of products within the assigned region.Collects analyze and monitors monthly activity reports from each IFA to plot trends and monitor the efficiency. Takes corrective action when necessary. Coordinates the promotions and sale of products and services to current and new customers.Exercises the usual authority of a manager concerning staffing, performance appraisals, salary recommendations, promotions and terminations.Ensures that required training is completed by direct reports and that Individual Employee Profiles are completed and updated as necessary.

Lead the development and implement strategies for annual marketing plan for specific products. Responsible for managing the development, design, promotion, pricing and launch of new products for BBVA Compass Investment Solutions.• Strategy development for strategic product and marketing plans.• Project management to effect strategy.• Tracks, analyzes and evaluates product and marketing campaigns; assesses effectiveness and profitability.• Assists with development of new products and services; serves as team leader on assigned projects• Builds business case for new products, services, campaigns, initiatives and programs for investments and insurance.• Interacts with other departments as necessary to develop, implement and coordinate marketing functions corporate wide.• Performs product and consumer analyses.• Coordinates marketing functions, campaigns and initiatives and support with external product providers.• Perform financial analysis for marketing programs and products.

• Maintain electronic record keeping systems for the Compliance department.• Manage Form BD, BR, ADV U4 and U5.• Manage ACQs, ACMs, and OBAs.• FINRA's Firm Gateway Super Account Administrator.• Customer Complaint Filing Rule 4530. • Respond to inquiries and requests from regulatory organizations.• Interact with other departments during internal and external audits. • Monitor the regulatory element of the FINRA mandated continuing education program.• Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated.• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.• Responsible for all details related to the securities registrations and insurance licenses of the firm and associated individuals• Manage the on-boarding process for registered representatives.• Work in conjunction with HR to review background check, credit reports, insurance licensing, and securities registrations for prospect employees. • Reviews licensing requirements and staff qualifications.

• Handles details related to the securities registrations and insurance licenses of the firm and associated individuals• Handles details related to FINRA and IA registrations for the firm and individuals• Maintains all aspects of corporate insurance agency licenses• Process insurance appointment paperwork and ensure the individuals maintain their licenses in good standing at all times• Coordinates renewals and cancellations of agent insurance licenses and insurance company appointments• Accurately tracks insurance licenses and appointments• Ensures that individuals timely complete Continuing Education (CE) requirements in order to avoid lapses• Determines and recommends appropriate CE for insurance licensed individuals based on state requirements• Serves as liaison to employees to answer registration and licensing questions

• Serve as a liaison between INVESCO and shareholder and brokerage community.• To provide customer services shareholders and business consultants.• Responsible for placing mutual funds exchanges and redemptions.• Maintaining and updating accounts in the shareholders information systems

• Responsible to promote consumer banking product sales to existing and potential mass affluent clients by profiling financial needs with emphasis on home equity, investment and deposit product sales. • Responsible for building relationships with clients in assigned markets through sales, and providing exceptional service levels. • Accountable for profiling clients and prospects by conducting business needs assessments to identify opportunities to develop loans, deposit, investment products, and for banking relationship development.

• Responsible for identifying cross sell opportunities for clients, and assign them to other Retail Banking Product Specialist. • Responsible for maximizing the Bank profits, by actively marketing the products the Bank has identified as critical or on a special promotion. • Promote bank services, by offering presentations to different industries throughout the Houston Metro Area.

• Responsible for preparing the financial statements and supporting schedules according to monthly closeout• Analyze revenues, commissions and expenses to ensure they were appropriately recorded on a monthly basis• Assist in documentation and monitoring of internal controls