Kelly Fey Email & Phone Number

Series 24, 7, 63, 99 licensesLead two dynamic teams responsible for managing all operational communications within broker-dealer and clearing services. - Oversee the drafting and delivery of essential regulatory communications, including policy updates, fee adjustments, emergency responses, tax documentation, and product changes.- Partner with multiple.

Remote / Denver, Colorado, United States

Series 24, 7, 63 licensesManage mass corporate communication strategies for regulatory, operational, informational, educational, and brokerage areas of the business via multiple platforms (email, in-app messages and displays, social media, physical mail) - work cross functionally to leverage SME knowledge and execute an auditing procedure to maintain.

Remote

Series 24, 7, 63 licensesCreate and implement business changes to mitigate risk gaps for FINRA inspections - includes major procedural and policy updates, rewriting WSPs, sharing technical acumen with leadership teams, and hosting training sessions for representatives - identify and execute on process improvements Conduct oversight of regulatory controls.

Malvern, Pennsylvania

Series 7, 63 licensesBalance multiple functions including: research and resolution case management, operational process improvement project ownerships, new hire mentoring and training services, internal consultations, and compliance & quality liaison Restored client trust by acting as single point of contact to obtain full scope of client issue, asses.

State College, Pennsylvania

• Created marketing campaign design project which included coordinating various engagements events

Monroeville, PA

• Summers of 2014, 2015, 2016
• Identified and qualified prospects for new business campaign in various target markets•
• Interaction with Caterers, Entertainment & Rental Vendor to meet budget projections of events
• Analyzed existing clients and for specific cross-selling marketing campaigns to increase organic growth •
• Extensive database work to manage client and prospect information for direct mail campaigns •
• Contributed to the planning and execution of client events