Registered Sales Assistant

• Assistant to Branch Manager.• Maintain compliance files and attend monthly compliance conference calls. Organize monthly branch compliance meetings.• Support branch manager with recruiting and onboarding.• Coordinate marketing/seminar events for the branch and the advisors I support.• Service clients utilizing the Client Relationship Model I developed.• Schedule client appointments and prepare Portfolio Management Report for the meetings. Follow up with summarization letter.• Set up all new client profiles and submit all new business. Follow through on accuracy and completeness of all new business.• Complete trades and transactions. • Submit material for financial plans. • Prepare client correspondences.• Enter and submit Expense Management reports. Accountable for submitting invoices to accounts payable.• Assist in day to day branch operations including but not limited to: answering main switchboard, mail, banking, ordering supplies and security.

• Liaison for a retail financial advisory office comprised of at any given time between 16 to 24 Financial Advisors, three BSAs, and one Office Coordinator. Responsible for branch office technical support, commission adjustments, annuity entry, opening new accounts, compliance procedures, completion of continuing education, and renewal of insurance license. Additional duties include:• Administrative Assistant for Branch Manager.• Coordinated the build out and move- in of two retail branch offices. Instrumental for the recruitment, on-boarding, and training of 10 new Financial Advisors and 4 administrative staff.• Maintained compliance files and remained current on all compliance related rules and regulations.• Responsible for record retention and the maintenance of all required client files.• Accountable for all outgoing and incoming correspondence as outlined by HRBFA's Compliance Manual.• Provided customer service in response to client's needs: created portfolio analysis; entered trades; sent monies via check, Smartwire or Fedwire; updated client accounts; and ensured positive relationships with clients.

• A multi-faceted position involving a variety of tasks in support and growth of the business of four financial advisors. Responsibilities included, but are not limited to: Prioritized and organized daily activities effectively.• Assisted in the review process of all new accounts. • Submitted financial portfolio analysis.• Entered trades and follow-up on executions.• Assisted clients with account inquiries, and maintained client relationships.