Vice President/Complex Risk Officer Resume Washington DC - Hire IT People

SUMMARY:

Financial Services Professional with 15 years of experience seeks a position in a positive, team - oriented environment.
Demonstrated ability to build and maintain positive relationships even amidst change and adversity, prioritize key areas of risk while promoting sales side objectives and effectively communicate with Confidential.

COMPUTER SKILLS

PROFESSIONAL EXPERIENCE:

Confidential, Washington DC

Vice President/Complex Risk Officer

Responsibilities:

Manage compliance and legal issue for 2 offices with 88 Financial Advisors and 28 Client Associates
Investigate and resolve client complaints involving sales practice and operational issues
Option account approval and suitability review; monitor and manage uncovered option exposure
Review of daily trade blotters and trade error, educate Advisory and support staff regarding harmonized MSSB policies and FINRA regulation, suitability review of Alternative Investment and Structured Products orders, review of incoming and outgoing communications, advertising requests and employee trading,

Financial Advisor/Registered Representative

Confidential, Washington DC

Responsibilities:

Customized investment strategies using a variety of investment products including open and closed-ended funds, preferred securities, structured products, annuities and alternative investments
Consult regarding small business 401(k) profit sharing plans and educate plan participants
Manage Private Client Portfolios with assets totaling $15.5 MM

Confidential, Newark, DE

Dealer Relations Manager

Responsibilities:

Analyzed dealer financial statements; identified areas of opportunity for increased profits and efficiencies
Educated dealership Finance Directors regarding HFS’ products and services
Addressed critical dealer relation issues

Operations Supervisor

Confidential, Newark, DE

Responsibilities:

Conducted internal audits weekly; addressed key findings with staff and management
Ensured preparedness for State and KPMG audits of outstanding loan portfolio
Oversaw branch credit decisions, dealership floor plan funding and financial reviews
Created, communicated and monitored career development action plans for 25 associates
Lead Supervisor of branch-wide group focused on identifying and addressing critical employee issues in annual associate survey
Managed relationships with 150 Regional Honda and Acura dealerships

Collections Supervisor

Confidential, San Ramon, CA

Responsibilities:

Ensured compliance with State collections and repossession laws
Evaluated accounts submitted for payment extensions, repossession and charge-off
Responsible for performance reviews and career development planning for team of thirteen associates
Counseled severely delinquent customers and resolved escalated customer contacts
Consulted with legal team on pending litigation

Customer Service Supervisor

Confidential, San Ramon, CA

Responsibilities:

Managed associate scheduling in order to consistently meet objectives for hold time and abandon rate
Prepared and communicated performance reviews for team of ten representatives
Provided ongoing training and feedback regarding communication skills, company policies and federal regulations
Select to be a CASS (Customer Account Servicing System) Development and Rollout Team Member

National Management Trainee

Confidential, Newark, DE

Responsibilities:

Developed branch-wide audit process and personally presented to Senior Management
Audit was adopted nationally by all Confidential ’ regional branches in 2003