14 Fourteen Street, Town, CA 99999 Cell: 000.000.0000 – firstname.lastname@example.org
Results-producing financial professional with 25 years of experience in financial services and 14 years in securities compliance. Extensive background selling annuities and financial products such as stocks, bonds, and mutual funds. Committed to producing accurate reports, conducting thorough risk assessments, and effectively training registered representatives to ensure optimal regulatory compliance. Knowledgeable of FINRA, SEC, and other regulatory rules and requirements. Proficient using Microsoft Office Suite, Outlook, SunGard, Streetscape, DST Vision, and Reg Ed Ad Trax.
Financial Services Risk Assessment Reports Generation Insurance Sales Product Promotion Securities Compliance Field Examination/Auditing Financial Advising/Client Relations Annuities Specialization Staff Supervision
FINRA Securities Licenses: Series 7,63,65, and 24 WA Life, Health and Disability Insurance License
Generated new business and expanded financial services sales and customer numbers in insurance and banking environments throughout career. Directed and performed securities compliance activities as a supervisory principle at US Bank and more recently as a field examiner with Allstate Financial Services. Developed and implemented initiatives to improve securities compliance and financial services sales including spearheading customized training for registered representatives. Received excellent ratings for supervision and record keeping as US BanCorp Investment’s District Compliance Specialist (DCS). Cross-functional leader who leveraged operational management and organizational skills to mentor, support, and train other DCSs throughout the country. Collaborated with a team in 2013 to redesign Allstate’s website with a focus on reviewing and approving content for the financial services pages. Selected by senior management in 2006 to serve on a committee with RR formed to improve cooperation and communication between compliance personnel and registered representatives across US BanCorp.
Personal Financial Representative June 2013 to Current Allstate Financial Services Spokane , WA Manage client accounts, expand business, and increase sales as a 1099 contractor. Support customers in identifying, planning, and achieving financial goals while providing innovative insurance solutions and customized advice. Maximize profits by collaborating with a team to continually improve customer service, account management, marketing, and promotional efforts.