Leona Barber, Mba Email & Phone Number

Waltham, Massachusetts, United States

• Analyze and monitor exception reports for potential firm policy violations and regulatory rules, as well as potential sales practice issues. • Apply reasonable judgment when working with advisors while ensuring compliance.• Effectually navigate pushback and exert influence to resolve reviews.• Identify and escalate issues to senior team members; proactively offering recommendations and solutions.• Share ideas for improving compliance-related systems, processes, and reports.• Educate advisors, their staff, and home office staff on regulatory topics through recorded teleconferences, newsletter articles, training resources, or other mediums.

• Independently contract all agency staff, advisors and advisor assistants• Collaborate with our onboarding team regarding all candidates while managing the disclosure process.• Maintain and coordinate with candidates to receive all required documentation.• Coordinate all aspects of securities and insurance licensing for agency staff, advisors and advisor assistants.• Oversee audited items and partake in the success of annual audits.• Analyze and research trends/trending issues to ensure advisors/staff remain compliant.• Prepare and analyze annual interview and inspection documentation for each registered person and location.• Adapt to constantly changing regulations from FINRA and states regarding licensing.• Maintain timely and effective communication via email and phone with all agency staff, advisors and advisor assistants.

Merrimack, Nh

• Provide planning and advice on a wide range of topics, including 401(k) plan enrollments, distribution options, account consolidation options, investment strategies, and retirement readiness. • Used digital resources and support tools, recognized and presented guidance on a plan that best meets the participant’s investment goals

Merrimack, New Hampshire

• Introduce 401(k) participants to business partners to have appropriate Investment Solutions conversations• Build rapport and open up the conversation with Fidelity clients through profiling and utilizing consultative skills with client interactions• Use book management skills and effectively manage leads through lead utilization.• Set up targeted appointments to address client needs related to products and services.

• Published Food For Free: From Food Waste to Healthy Meals, SAGE Business Cases (January 2020)• Research based project- Work with the MBA program director on a UMB Public Service Grant. This project will raise awareness about the environmental, social and business benefits of the circular economy, a new economic paradigm based on zero waste, product reuse and remanufacturing. Through research, case studies, class projects, and panel presentations, the project will help create cross-market links and build entrepreneurs at UMass Boston and throughout the region.

Salem, New Hampshire

• Coach and motivate my team to inspire top performance and an exceptional customer experience • Execute standards in recruiting, hiring, training, guest services, visual merchandising, and store operations• Execute plans to drive key performance indicators to maximize profitability • Enhance brand loyalty by empowering team to create a natural and personable experience for customers• Act as a partner between customers, sales associates, store leadership and corporate business partners • Maintain a high level of customer focus and lead by example with clear and engaging communication • Ensures visual directives and standards are maintained

Greater Boston Area

• Analyze history of sales and budget, forecasts future buys. • Identify sales trends and in store demands to be able to efficiently hand pick product for the store to acquire new business as well as maintain existing customers.

Greater Boston Area

• In direct charge of all merchandise in the store such as ordering merchandise, pricing merchandise, creating SKUs, merchandising the storefront and windows to create effective and appealing displays. • Regularly supervised a team of 10 to 20 employees while ensuring the regular function of the store. • Act as the Human Resources for the company. Supervised and took part in hiring, termination, disciplinary action, time off, benefits, promotions, legal documents, etc.• Schedule and manage the calendar for the store and employees. Responsible for scheduling events and meetings with our vendors while also creating week to week schedules. • Create all marketing for the store. Hand pick and design posters and signs while assigning promotions and promotional pricing for merchandise. • Maintain and organize stock and inventory in store and on online storefronts (amazon/ebay) • Created the store’s website - www.footpathsshoes.com

Master Of Business Administration - Mba, 3.7

Activities and Societies: Independent study in leadership and organizational change

Bachelor'S Degree, Business Management, Leadership And Organizational Change, 3.4

• Studied emotional intelligence, conflict management, leadership, interacting with and managing diverse people. • Awarded the Krystle.