Recruited to manage all sales, marketing, operations and compliance activities. Collaborated with portfolio managers and financial analyst to sell investment strategies to high net worth and small business clients. Prepared pre-and-post sales documents including sales presentations, marketing collateral and investment advisory agreements. Provided client support services, including distributions, contributions and account maintenance. Ensured all operations processes, especially those that affect clients, are functioning optimally. Oversaw all compliance requirements with the SEC and other regulatory agencies. Review all investment and insurance selling agreements, business and marketing alliance documents ensuring compliance requirements are met.Introduced insurance products and services to the firm, increasing revenues by almost 100% in 18 months; assets under management currently over $200M. Increased efficiencies and functionalities while decreasing costs by implementing new technologies and computer systems. Enhanced client experience implementing a CRM solution allowing for better client communication and increased servicing capabilities.

Reported directly to the President and CEO. Oversaw the operations of this benefits and financial services provider company. Coordinated Broker/Dealer compliance activities, including employee training. Managed account forms for more than 300 clients, established new account agreements, produced “know your client” sheets and suitability forms. Worked with principals of the firm to prepare pre-and-post sales documents including sales presentations, marketing collateral and account/platform reviews.Wrote and implemented the Supervisory Procedures Manual, Anti-Money Laundering Policies, Business Continuity Plans and Representative Agreements.Improved office workflow, decreased costs and increased client support abilities:Implemented the SalesLogix Client Relationship Management System and EZ-Data® ECP database system. Coordinated the design and implementation of a new network system and Microsoft Server.

Prepared detailed, user-friendly qualified plan and account analyses for clients and prospects utilizing up to 20 different 401(k) plan providers. Helped coordinate all compliance activities. Directed marketing and sales collateral development for life insurance, annuity and mutual fund products. Supervised the qualified plan team.Improved operational efficiencies and accuracies in multiple areas throughout the firm:Managed a Novell network computer system and upgraded 70% percent of the computer systems; reduced operating costs by several thousand dollars securing appropriate hardware and software for the various groups within the firm.Implemented a digital subscriber line over the networked system.