• Performed end-to-end, “frictionless” transitions of loan deals geographically dispersed across 21 states. Resolved issues noiselessly by exercising judgment appropriately and executing project tasks proficiently. • Performed due diligence and submitted recommendations for loan deals to Vice President, while supporting field sales teams by providing product education, training and marketing response materials. • Demonstrated ability to sell products and solutions over the phone by excelling in gathering client requirements and presenting key service/solution selling points, features; understanding project execution timeframe and setting expectations accordingly.• Maintained high performer status throughout tenure as measured by inbound and outbound call volume, increase in sales achieved by the financial advisors I supported, and customer satisfaction ratings.Skills: Inbound Sales, Customer-Centric, Selling Financial Services Products, Selling Banking Products, Customer Training, CRM, Data Management, Time Management, Due Diligence, Reporting, Loan Analysis, Teamwork.

• Reviewed advertising materials for financial advisors and Registered Investment Advisors (RIA) to ensure compliance with FINRA, SEC, and state regulatory requirements upon earning FINRA Series 7 and 24 licenses (within 75 days of joining RJF and with no prior financial services background).• Promoted to lead analyst for Chairman’s Council Top 90 Producers (RJF’s VIP clients) as a result of consistently demonstrating the ability to prioritize a high volume of reviews, provide excellent customer service (receiving many accolades verbally and in writing) and demonstrating organizational and time management skills in a fast-paced, high-energy environment where errors have financial, reputational and legal consequences for financial advisors and clients. • Researched and interpreted regulations to determine impact and help update procedures as needed. Developed solid knowledge of financial services products. • Communicated instructions and rationale clearly and professionally to financial advisors when requesting changes to material in order to comply with regulations. • Trained and mentored new associates through constructive feedback to encourage improvement. Revamped training materials to bolster knowledge sharing and consistent application of best practices. • Built effective network across firm resulting in being asked to write articles for Compliance Bulletin and course content for Continuing Education; serve as regional Compliance liaison to department managers regarding heightened supervision issues; and train financial advisors through the Advisor Mastery Program. Skills: Regulatory Compliance, Corporate Governance, Customer Support, Client Dispute Resolution, Compliance Analysis, Training, Internal Continuing Education Content Creation, Financial Services Products, Securities Regulations. Keywords: Mutual funds, Broker-Dealer, Sales literature, Regulatory inquiries, Brokerage accounts, document review, client service, ad review, FINRA, SEC, banking

• Balanced attention to detail with coordination of project tasks for timely completion of filings with Federal Trade Commission (FTC) and Department of Justice (DOJ) for highly complex mergers transactions subject to Hart-Scott-Rodino (HSR) notification requirements (mergers valued at over $84.4M USD). • Product owner for new firm-wide litigation case management system with responsibilities to provide user requirements, user acceptance testing, data conversion assistance from legacy system to new system, and post implementation training to associates.• Earned reputation as “go-to” person for completing process improvement projects by demonstrating sound judgment, effective communication with all levels of management team, applying critical thinking and planning skills, while balancing project delivery with completion of other highly detailed job functions in an environment where mistakes have direct financial and legal consequences to clients. Skills: Electronic Filing, Docketing, Case Management, Document Management, Electronic Records Retention, Legal Research, Analysis, Legal Writing, Written Communications, Case Tracking, Microsoft Office, Microsoft PowerPoint.