Enroller/Licensed Sales Assistant Resume Berkeley Heights,Â NJ - Hire IT People

SUMMARY:

Financial Services Professional successful in supporting world - class sales teams, aligning all initiatives with strategic business goals, operating effectively in demanding environments, and maximizing available resources to attain noteworthy results.
Former Army Aviation Officer and construction industry project supervisor who leverages exceptional communication skills to build quality relationships with colleagues, clients, and prospects.
Ambitious leader determined to continually exceed expectations and take on added responsibilities while achieving desired results and encouraging outstanding performance from team members.

TECHNICAL SKILLS:

PROFESSIONAL EXPERIENCE:

Enroller/Licensed Sales Assistant

Confidential, Berkeley Heights, NJ

Responsibilities:

Enrolling new 401(a), 403(b), and 457(b) plan participants.
Processing forms for incoming AUM intra-plan transfers and rollovers.
Conducting prospecting events through staff meetings, union meetings, and benefits fairs.

Registered Client Service Associate

Confidential, Saddle Brook, NJ

Responsibilities:

Ensured that all advisors maintained proper compliance documentation and were audit-ready at all times.
Sat in on client meetings to assist advisors in discovery, presentation, and implementation of financial plans.
Coordinated all aspects of office marketing events from creating events and materials to compliance tracking and tracking ROI.
Conducted complete and timely compliance reviews of advertising and sales literature materials for advisors in order to ensure compliance with applicable FINRA/SEC rules, NAIC guidelines, and company policies/procedures.
Responsible for all advisor advertising (print ads, advisor websites, LinkedIn pages, Facebook pages, brochures) and all subsequent compliance tracking.
Assisted with outside business activity reporting as well as gift/entertainment/expense reporting and tracking.

Agent

Confidential, Fairfield, NJ

Responsibilities:

One of the top three agents in an office of 20+ agents, averaging 6-10 accounts per month.
Instrumental in ongoing efforts to secure relationships with financial advisors and insurance brokers.
Conducted weekly sales meetings for new hires on prospecting, sales, and relationship maintenance.

PMD FA Trainee

Confidential, Paramus, NJ

Responsibilities:

Assisted advisory team of four financial advisors with call management, service, compliance, and operations.
Placed trades/transactions as instructed by client and/or financial advisors and sent confirmations of all activities.

Registered Sales Assistant/Client Relationship Manager

Confidential, Bergen County, NJ

Responsibilities:

Conducted weekly meetings for new hires on prospecting, sales, maintaining relationships, and filing paperwork properly.
Assisted in marketing private placements and investment banking products from multiple VC firms to existing clients and their referrals.
Instrumental in efforts to secure relationships with venture capital firms for future offerings.
Developed professional relationships with network of HNW and UHNW consultants, auditors, accountants, and other clientele.

Platoon Leader/Aviator

Confidential, Picatinny Arsenal, NJ

Responsibilities:

Led Platoon of over 50 soldiers while exceeding all standards and benchmarks required of an Army Officer
Maintained proficiency in helicopter flight capabilities, strategy, and implementation.
Accounted for approximately $500M in assets and hardware.