Durham, North Carolina, United States
A passionate, results-driven Financial Services professional with 16 years of industry experience specializing in client relationship management, risk mitigation, account services, and regulatory compliance. Recognized for strong leadership, analytical thinking, and the ability to build lasting client relationships through exceptional service and trust. Experienced in navigating complex regulatory environments, including Federal Reserve Bank and SEC guidelines, while maintaining a client-focused approach. A collaborative team player, mentor to new professionals, and recipient of the 2026 Platinum Excellence Award, known for adaptability, communication, and delivering high-impact results in fast-paced environments.
Provide comprehensive sales, service, and operational support to Financial Advisors while delivering high-quality client experiences. Manage client communications, establish and service brokerage accounts, prepare and process required documentation, and research account inquiries. Coordinate appointments, support marketing and referral initiatives, and ensure compliance with firm and regulatory requirements through accurate recordkeeping and administrative support.
Directed multiple federal trade regulation projects simultaneously with full end to end responsibility to deliver 100% progress towards target operating and risk model. ● Managed project teams, trained, and delegated individual responsibilities to facilitate on-time completion of planned tasks and ensure project success. ● Created and conveyed project plans, timelines, project analysis and status updates to effectively communicate to internal stakeholders through reporting by ways of hosting calls, facilitating presentations and email distribution. Simplified large client datasets to provide clear and concise project updates thus gaining proficiency in Microsoft Excel. ● Created new training modules and key business requirements implemented to improve project team success. Subject matter expert to key CRM databases such as Salesforce and JIRA and internal systems to improve team performance and ensure project success. ● Led user acceptance testing for business users providing approval to develop new processes and applications to satisfy internal and external partner relationships. Conducted team meetings and one-on-one coaching sessions to implement new processes and applications to develop teams and future project success.
Perform various administrative functions such as handling client inquires, establishing new accounts, and research account inquiries. Create and produce daily reports, databases, and maintain filing and record keeping necessary to support efforts to service and grow our client relationships. Establish and maintain documentation to meet the firm’s regulatory requirements. A mentor to new client associates and a point of contact for new policies and procedures at branch level. Achieved passing score in Securities Industry Essential Exam.
Ensuring accurate processing of deposits, securities, orders and disbursements for clients. Assisting client associates with operational questions regarding policy & procedures. Ensure compliance is followed accordingly for audit and regulations purposes. Creating and analyzing client reports as directed.
Managed 5 person teller team to ensure prompt and efficient processing of client transactions with quality referrals. Manager duties included 100% team scheduling, prepare and lead morning team meetings to establish attainable goals for the day, observe teller interactions daily, and coach tellers according to customer service expectations. Established attainable branch customer service goals monthly. Interviewed, hire and mentored new tellers. Ensured compliance guidelines were followed throughout all procedures by training and holding teller team accountable. Achieved above satisfactory annual regulatory audit results for branch 4 years in a row. Awarded Customer Service Manager - 1st Qtr 2017, Star Manager 2015, and Star Manager Nominee 2016.