Helped facilitate a broker-dealer change that required re-papering 750 clients. Responsibilities included preparing paperwork, meeting with clients to gather information and obtain signatures, reviewing paperwork for accuracy, submitting paperwork to new broker-dealer, and following-up on transfers and any action items needed.

Operations moved to Irvine, CA, which resulted in the closure of Chesterfield, MO office.• Assisted management with business operational activities and created a process for tracking and maintaining document controls (i.e. Contracts, SOWs, Confidentiality and NDAs). • Supported company’s executive leadership team, including CEO and CFO, by serving as the central point of contact for their coordination of activities. Managed calendars for 5 C-Suite level executives across 4 states.• Supported executive office functions of Accounting, HR, HIPAA/QA Compliance, and IT (i.e. Improved new hire process by creating various forms for HR, led research in developing the company’s HIPAA Compliance program, and processed AR/AP for Accounting.).• Scheduled and organized complex activities such as meetings, travel, conferences, department and company-wide events, including Board of Directors meetings, etc.• Managed the expense report system, processed reports for executive team, and reviewed company-wide reports for approval.• Promoted from Executive Administrative Assistant in October 2015.

• Maintained office compliance, policies and records management, and prepared office for annual audits/state exams.• Oversaw daily operations including maintaining levels of office supplies, sorting and delivering mail, answering phones, and monitoring security procedures.• Wrote job descriptions, interviewed potential new hires, and improved office performance by creating a training manual covering all business functions.• Responsible for annual reporting to FINRA, ADV/Privacy Policy updates and delivery to clients, and U-4 updates.• Supported advisors by monitoring license/continuing education requirements, preparing reports and paperwork for meetings, and acting as a liaison between advisors, clients, mutual fund companies, annuity/life companies, etc.• Managed payroll and bookkeeping. Reduced operating expenses by continuously reviewing vendor contracts.• Promoted from Administrative Assistant in 2011.

• Directed daily operations for the bank, which included customer service, compliance of staff, processing payroll and corporate bills/taxes, insurance and retirement plan enrollments, policy management, etc.• Oversaw yearly training for compliance, privacy, anti-money laundering (AML), etc. and prepared bank for exams and audits. Closely monitored OFAC/FINCEN and reported any matches.• Accountable for monthly loan and Federal Reserve reporting, State Quarterly Call Reports, and prepared various reports for the monthly board meeting, for which I served as secretary. • Managed a staff of more than 15 people and assisted in interviewing, disciplining, and terminating employees, as well as employee reviews. Created training manuals for office functions ranging from teller duties to management-level responsibilities.• Promoted from Assistant Manager of Glen Carbon branch to Operations/Compliance Officer in 2006 and then promoted to Assistant Vice President of the bank the same year.

• Directed daily operations for the branch, which included customer service, compliance of staff, audit prep, and helping manager prepare to meet sales goals, while maintaining growth.• Helped manage a staff of more than 10 people an assisted in interviewing, coaching, disciplining, and terminating employees, as well as employee reviews.• Repeatedly promoted during 5-year tenure. Initially held a teller position and was promoted to Universal Banker. Was then promoted to a Senior Universal Banker. Received multiple Excellence awards in that position, which ultimately led to promotion as Assistant Branch Manager.