● Administration of accounts supporting wealth advisors in Colorado and New Mexico.● Monthly Regulation 9 account reviews and approvals, onboarding, document preparation, authorized trade and realignment requests, cash disbursement approvals and all client service requests.● Sought out proactive planning opportunities with clients and referrals to other bank departments.● Mastered Nautilus document management, Smartleaf investment software, and Innovest systems.● Improved upon… Show more ● Administration of accounts supporting wealth advisors in Colorado and New Mexico.● Monthly Regulation 9 account reviews and approvals, onboarding, document preparation, authorized trade and realignment requests, cash disbursement approvals and all client service requests.● Sought out proactive planning opportunities with clients and referrals to other bank departments.● Mastered Nautilus document management, Smartleaf investment software, and Innovest systems.● Improved upon procedures to ensure superb client service including creating a training manual.● Assisted in event planning and running.● Microsoft Office suite. Show less

• Responsible for all office management, ensuring federal and broker dealer compliance and regulatory rules are met while assisting and supporting advisors/owner • Assist advisor/owner in managing workflow and OSJ duties which includes compliance supervision • Create workflow templates in RedTail CRM and a procedures manual to improve operational efficiency• Royal Alliance Associates (Advisor Group), PBS Wealth Management RIA, and DocuPace document management• First to respond… Show more • Responsible for all office management, ensuring federal and broker dealer compliance and regulatory rules are met while assisting and supporting advisors/owner • Assist advisor/owner in managing workflow and OSJ duties which includes compliance supervision • Create workflow templates in RedTail CRM and a procedures manual to improve operational efficiency• Royal Alliance Associates (Advisor Group), PBS Wealth Management RIA, and DocuPace document management• First to respond to evaluate and manage matters for clients including account changes, new accounts, beneficiary changes, RMDs, death claims, and answering client questions • Maintain manual database of yearly RMDs for advisors to ensure completion by year end• Communicate effectively verbally and through Redtail CRM as database administrator• Work effectively with broker dealer, Third Party Money Manager AssetMark Trust, annuity companies, and mutual fund companies and their technologies to service client accounts• Maintain inventory and purchasing of office supplies• Create and manage email marketing campaigns and website maintenance• Held the additional role of receptionist for two firms (a CPA firm subleases part of PBSWMs space) while maintaining accuracy and meeting deadlines in current role for almost two years during the pandemic• Provide ongoing training to new receptionist/admin who started in September 2021• Researched and implemented a new VOIP phone system, installation, and training of both firms Show less

• Responsible for all office management and assistant duties to support advisor/owner • Geneos Wealth Management broker dealer and Laserfiche document management• Ensured federal and broker dealer compliance and office procedures were followed• Prepared documents, statements, and files for client appointments• Managed Redtail CRM, and obtained necessary client information for onboarding• Completely ran the business alone between April and June when the owner was physically… Show more • Responsible for all office management and assistant duties to support advisor/owner • Geneos Wealth Management broker dealer and Laserfiche document management• Ensured federal and broker dealer compliance and office procedures were followed• Prepared documents, statements, and files for client appointments• Managed Redtail CRM, and obtained necessary client information for onboarding• Completely ran the business alone between April and June when the owner was physically unable to work; the business was sold in the fall of 2017 Show less

• Assisted a team of four financial advisors in building a rapidly growing high net worth business • Ensured federal compliance and office procedures were followed• Performed administrative and support functions including trading quality control, entering trades, reporting, expense reports, and daily data downloads from TD Ameritrade and Charles Schwab into Portfolio Center• Set up and converted paper files to digital Laserfiche document management• Researched and resolved… Show more • Assisted a team of four financial advisors in building a rapidly growing high net worth business • Ensured federal compliance and office procedures were followed• Performed administrative and support functions including trading quality control, entering trades, reporting, expense reports, and daily data downloads from TD Ameritrade and Charles Schwab into Portfolio Center• Set up and converted paper files to digital Laserfiche document management• Researched and resolved service issues and prepared documents, statements, and files for client appointments• Set up and managed client files accurately in SalesForce CRM • Designed and distributed monthly newsletter email marketing campaigns• Accurately processed data for quarterly reporting and mailing of client report packages Show less

● Assisted a team of up to five advisors in managing and building their books of business.● Part of a team of four that launched a brand-new RIA Investment Advisory firm January 2015● Managed workflow to complete a 1,000+ account, 70-million-dollar AUM, broker dealer change from Royal Alliance to LPL Financial. ● Performed administrative and support functions including scheduling and managing calendars, running reports, IT backup person, VOIP phone set up and management, and Junxure… Show more ● Assisted a team of up to five advisors in managing and building their books of business.● Part of a team of four that launched a brand-new RIA Investment Advisory firm January 2015● Managed workflow to complete a 1,000+ account, 70-million-dollar AUM, broker dealer change from Royal Alliance to LPL Financial. ● Performed administrative and support functions including scheduling and managing calendars, running reports, IT backup person, VOIP phone set up and management, and Junxure CRM management.● Coordinated with clients regarding new accounts, asset transfers, and financial plan preparation.● Collaborated with wholesalers to learn about new products, requirements, and client accounts.● First to answer phones and handle matters for all client service requests.● Firm marketing material development and implementation, email marketing, website maintenance.● Microsoft Office suite. Show less

Recruited, interviewed and hired candidates for light industrial and administrative positions for a variety of client industries. Completed three weeks of intense training in employment law and recruiting. Consistently created successful matches leading to long term placements. Composed job descriptions and managed online recruiting ads. New employee onboarding, orientation, new hire paperwork including I-9’s, and E-Verify software. Performance reviews and employee counseling when necessary.

Responsible for the management of the customer care team for a national mail marketing company. Budgeting, staffing, marketing, typesetting, invoicing, proof reading, editing, conflict resolution, training manual and procedure development, and all aspects of office administration. Accepted additional responsibilities such as product concept, design, and copywriting. Responsible for creation, copy, and development of email marketing campaigns.