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Wealthforge Holdings - Compliance Analyst Resume Example

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XXXX X XXXXX XX XXX X, Richmond, VA 23220 | (H) XXXXX XXXXXXXX | XXXXXXXXXXXXXXXXXXXXXXXXXX
Professional Summary

Accomplished leader committed to high levels of customer satisfaction and meeting aggressive business goals. Dedicated and innovative with specialized knowledge in the financial industry as well as retail sales.

Skills
  • Administration and Management
  • Exceptional Customer Service
  • Sales and Marketing
  • Notary Public
  • Complex Problem Solving
  • Independent Worker
Experience
Sales Team Leader 05/2015 to Current
REI Glen Allen, VA
  • Provide staff with assistance in performing difficult or complicated duties.
  • Monitor sales staff performance to ensure that goals are met.
  • Formulate pricing policies on merchandise according to profitability requirements.
  • Confer with company officials to develop methods and procedures to increase sales, expand markets, and promote business.
  • Listen to and resolve customer complaints regarding services, products, or personnel.
  • Hire, train, and evaluate personnel.
  • Prepare sales and inventory reports for management and budget departments.
Compliance Analyst 08/2015 to 04/2016
WealthForge Holdings Richmond, Va
Responsibilities & Accomplishments
  • Interpret data on price, yield, stability, future investment-risk trends, economic influences, and other factors affecting specific private placements.
  • Recommend investments and investment timing to companies, investment firm staff, or the public.
  • Collaborate with investment bankers to attract new corporate and individual clients to the broker dealer.
  • Evaluate and compare the relative quality of various deal offers  in the private placement industry.
  • Determine the prices at which securities should be syndicated and offered to the public.
Service Manager 04/2013 to 04/2015
FW Sullivans Richmond, Va
Responsibilities & Accomplishments
  • Meets restaurant human resource objectives by: recruiting, selecting, training, assigning, scheduling, coaching, and disciplining employees; communicating job expectations; planning, monitoring, appraising, and reviewing job contributions; planning and reviewing compensation actions; enforcing policies and procedures.
  • Achieves restaurant operational objectives by: contributing information and recommendations to strategic action plans; implementing production, productivity, quality, and customer-service standards; resolving problems; completing audits; identifying trends; determining system improvements; implementing change.
AMC Operations Specialist 06/2009 to 08/2013
SunTrust Investment Services Richmond, Va
Responsibilities & Accomplishments
  • Review clients information such as investment performance reports, financial document summaries, or income projections.
  • Prepare proposal plans of action for investment, using financial analyses.
  • Reached out to a select list of Investment Consultants in the Central footprint, 2011,  improving retention rate from 27% to 85%.
  • Awarded entry in elite leadership program, LEAD (Leadership through Education Achievement and Development).
  • Simultaneously exceeded personal production goals.
  • Directed organization's financial and budget activities to fund operations, maximize investments, and increase efficiency.
Financial Services Representative 08/2008 to 06/2009
SunTrust Bank Manakin Sabot, Va
Responsibilities & Accomplishments
  • Met with clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, and risk tolerance to develop a financial plan.
  • Prepare and maintain records of client progress and services performed, documenting changes in chart.
  • Advise clients or respond to inquiries about financial matters in person or via phone, email, or website.
  • Guided client strategies in cash management, insurance coverage, and investment planning to help them achieve their financial goals.
  • Created and rolled out "Feet on the Street" marketing strategy which expanded our client base to Goochland, Short Pump, Powhatan, Oilville, Amelia, Rockville, Mechanicsville, Chesterfield, Chester, Tuckahoe, and Richmond City
  • Independently increased our Gross New Checking Account goal from %28 to 96% in the 4th quarter of 2008
Store Manager 01/2005 to 08/2008
Urban Outfitters Glen Allen, Va
Responsibilities & Accomplishments
  • Hire, train, and evaluate personnel in retail sales, merchandizing, back stock/receiving, and promoting or firing employees as needed.
  • Provide customer service by greeting and assisting guests and responding to inquiries and complaints.
  • Direct and supervise employees engaged in sales, inventory-taking, reconciling cash drawers, and restocking.
  • Monitor and analyze sales records, trends, and economic conditions to anticipate consumer buying patterns and determine what type and how much inventory is needed.
  • Confer with company officials to develop methods and procedures to increase sales, expand markets, and promote business at the Richmond area.
  • Increased shipping, receiving, and distribution productivity from 20% to 95% by creating a collaborative, morning team assembly  line.
  • Established a partnership with local, charity based thrift store, which allowed the Richmond store to donate all discontinued clothing and accessories to their cause of improving our city.
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Education
Bachelor of Science: Health Science May 2007 Virginia Commonwealth University - Richmond, Va
Community Service
Lead Volunteer Events Coordinator - SunTrust's "Sold Gives Back" 
  • President of Fundraising (SunTrust) - "Making Strides Against Breast Cancer", 2008-2012
  • Volunteer (SunTrust) - Child Savers 2011
  • Volunteer (SunTrust) - Community Kitchen/Virginia Food Bank 2010 - 2013
Founder and President of RVA CARES, 2013 - present
  • Lead Volunteer, James River Cleanup, 2013 - present
  • Lead Volunteer, Thanksgiving Food Handout, 2010, 2013 - present
  • Lead Volunteer, Christmas Food Handout, 2013 - present
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Resume Details

This is a real resume for a Compliance Analyst in Richmond, Virginia with experience working for such companies as Rei, Wealthforge Holdings, Fw Sullivans. This is one of the hundreds of Compliance Analyst resumes available on our site for free. Use these resumes as templates to get help creating the best Compliance Analyst resume.

Previous Companies:

  • REI
  • WealthForge Holdings
  • FW Sullivans

Previous Job Positions:

  • Sales Team Leader
  • Compliance Analyst
  • Service Manager
  • Financial Services Representative
  • Store Manager

Schools:

  • Virginia Commonwealth University

Level of Education:

  • Bachelor of Science

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