Provide high touch service and support to our most high net worth Corporate Services participants, and to retain the customers and grow revenue associated with these accounts. This will occur through comprehensive support, product education, trade facilitation and asset gathering. The RM must be totally dedicated to exceeding all participant expectations in an effort to retain these valuable households and develop long lasting retail relationships.

Provided daily Oversight and Guidance to E*TRADE Platinum (150 Employees) & Customer Service Management and Personnel (600 Employees) in Alpharetta, Chicago, Jersey City, Salt Lake City and Tampa. Conducted and/or assisted with: site visits, compliance inspections, internal audits, SOX audits and Deloitte audits as well as other requests from regulatory agencies. Provided support, training and alignment of general regulatory sales practices, including: reviews of associate registrations and licensing, sales practices by RMs and FCs, systems permission levels, trade ticket/blotter reviews, records retention, delegation memos, credit/disbursement approval levels, correspondence reviews, business continuity plans and adherence/updates to Internal Policies & Procedures. • Improved Business Practices by enhancing the balance in business and regulatory priorities to support top line growth through projects responsible for and implemented (i.e. Platinum Manager’s Handbook). Also, projects on which I assisted with design and implementation (i.e., Automated Trade Blotter and Automated Email Review) resulting in 1000s of man hours saved monthly.• Improved the risk culture by creating a safer environment through annual site reviews that identified policy breakdowns; conducted follow-up meetings to recap possible audit concerns, reducing strain on management and consistently reducing/eliminated findings in subsequent audits. For the first time ever in 2016 the Tampa site did not have a single finding from their compliance inspection.• Accomplished measureable reduction in findings across all sites such as Disbursement Report reviews, Verification of Client (Pretext Calls), Missing Interactions, Required Licenses, Sales Training, Approval Levels and Records Management.• Consistently ranked between 4.0 and 4.73 on a 1-5 scale by colleagues for Competency in Strategy/Business Skills, Execution Skills, Personal Skills, and Corporate Citizenship.

Supported and retained E*TRADE Securities’ most valuable clients through comprehensive support, product education, trade facilitation and asset gathering. • Managed 350 households (could have multiple accounts) with the total average of assets held at E*TRADE being in excess of $350M. Ensured highest client satisfaction and retention rates by quickly resolving all types of trading and service related issues.• Consistently rated in the top 10% of Platinum RMs by meeting and exceeding performance requirements.• Developed many long standing and meaningful relationships. Continued to grow assets held by educating clients on new products and services available.• Maintained an attrition rate of clients of 4% or less per year. • Maintained a client satisfaction rating of 87.5% - 95% on an average of 400 inbound /outbound calls monthly.• Far exceeded expectations by maintaining a broker free error rate of 100% for entire tenure.• Consistently ranked between 3.71 and 4.00 on a 1-5 scale by colleagues for Competency in Strategy/Business Skills, Execution Skills, Personal Skills, and Corporate Citizenship.