career objective                              

results-driven financial services professional eager to contribute demonstrated leadership, business development, and strategic problem-solving skills toward actively supporting the employer in optimizing profitability

profile                                                

ø  offer numerous years of progressive financial services experience, with expertise in operational analysis, account management, and staff development

ø  depth of knowledge in global investments, securities trading, trust management, and mutual fund management; extensive experience working with municipal and corporate bonds, mutual funds, equity securities

ø  demonstrated ability to train and lead top-performing support teams; assess existing procedures and pioneer innovative process improvements

ø  facilitate client-focused, service-oriented environment vital to maximizing customer satisfaction and retention, increasing revenues, and expanding market share

ø  strategically plan and coordinate workflow and human resources for optimal coverage while containing labor costs

ø  dynamic communication, presentation, negotiation, and relationship management skills; foster and maintain diverse network of industry contacts

ø  proactive team player equally effective in independent and collaborative environments

 

~ key achievements ~

• improved enterprise-wide account establishment process for george k. baum & company by developing and instituting use of a new account checklist to ensure compliance with finra books and records rules
• granted key accounts as trust administrator ii with umb; successfully turned around dissatisfied client situation and cultivated long-term business relationship
• increased state street revenues, streamlined billing and payment procedures, and eliminated fee-posting errors by introducing an improved fee schedule; generated substantial fees with the acquisition of $250m account from existing client
• boosted productivity levels and employee retention rates at kemper service company through effective staff training; improved accuracy, processing time, and customer relations by delivering on-site training to brokerage personnel
• two-time nominee for kemper service company s national outstanding customer service award

professional experience                

george k. baum & company, kansas city, mo                                                                          2004 c present 

operations analyst                                                  

• ensure superior client account servicing, finra compliance, and operational efficiency for this leading midwestern investment banking company
• utilize federal reserve system and depository trust company systems to execute municipal bond trade placements and settlements, conduct daily money market sweep and demand deposit account reconciliations, and post payments to client accounts
• selected to serve as operations department head cashier with oversight of all aspects of client cash management; process deposits, actively monitor account balances, and ensure that accounts meet minimum maintenance margins

 

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umb bank, kansas city, mo                                                                                                    2000 c 2004

trust administrator ii

• oversaw a range of client retirement plans for major regional bank holding company; maintained exceptional levels of client satisfaction
• conducted all account administration and processing duties, supervised accounting and auditing activity, and ensured compliance with erisa and ira standards
• assisted plan sponsors, participants, third party administrators, and client relationship managers as necessary in addressing issues with 401(k), profit sharing, esops and defined benefit plans

 

state street, kansas city, mo                                                                                                    1999 c 2000

custody account manager      

• directed four-member team in managing institutional custody accounts with a value of more than $5.5b; placed trades in varied securities markets, collected income, and ensured proper and timely money movements and fund closings
• provided excellent customer service; resolved potential issues and escalated situations

 

kemper service company, kansas city, mo                                                                             1990 c 1999

service specialist iii

• steered account servicing operations for clients of six distinct brokerages; established and updated accounts, processed transactions, and issued all commissions
• trained company staff and brokerage firm employees in procedures and customer service
• partnered with sales personnel to increase market share

 

~ military background ~

u.s. navy & naval reserve c u.s.s. wadsworth, san diego, ca                                                1987 c 1993

radioman petty officer third class

education                                           

columbia college                                                                                                                      2009

bachelor of business administration; management major

 

longview college                                                                                                                      2006

associate of applied science; business administration major

 

~ national association of securities dealers credentials ~

series 7 license (2006) ~ series 63 license (2000) ~ series 6 license (1991)

 

 

 

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hiring agent name

title

company name

address

city/state/zip code

 

dear__________________:

 

i am currently seeking a challenging career opportunity as a insert job title and am submitting my resume for your review.  in advance, thank you for your time and consideration.

 

as demonstrated in the accompanying resume, my professional qualifications include 19 years of experience in the financial services industry.  i have effectively applied my skills and knowledge toward delivering excellent customer service, increasing productivity, ensuring account accuracy and compliance, and training highly proficient personnel.  my solid understanding of stocks, bonds, mutual funds, trusts, and other financial instruments has been key in my ability to improve business operations, and my superior communication skills have been instrumental in my success at retaining staff and clients.  to complement this background, i offer a bachelor of business administration degree, and hold nasd series 7, 63, and 6 licenses.

 

as an employee, you will find me to be a driven team player committed to supporting you in achieving your objectives through superior performance.  i am confident that i could be a valuable asset to your firm, and look forward to interviewing with you in the near future.

 

sincerely,

 

yyyyyy x. yyyyyy