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SENIOR SALES ASSISTANT – BROKERAGE/FINANCE

Accomplished and dynamic professional, consistently recognized for effective operations and client relationship management and ability to develop sales strategies, delivering profitable solutions to attract and maintain accounts and customers, and propel company growth. Innovative and reliable individual with proven ability to achieve organizational goals while displaying effective multi-tasking and time management skills. Proven ability to successfully analyze an organization’s critical business requirements, identify deficiencies and potential opportunities, and develop innovative and cost-effective solutions for enhancing competitiveness, increasing revenues, and improving customer service offerings. A team player with effective interpersonal and communication skills, adept at building productive relationships and building rapport with a diverse set of individuals.

Core Competencies
Organizational Leadership • Business Development • Business Requirements Analysis • Client Relations Management Customer Service • Process Improvement • Account Management • Negotiation & Presentation Skills • Sales & Marketing • Regulatory & Procedure Compliance • Trade Equities • Financial Modeling

PROFESSIONAL EXPERIENCE

Ladenburg, Thalman & Co., New York • NY 6/2005 – Present
Senior Sales Assistant
Received various product orders from clients, demonstrated knowledge on product specific applications, established relationship with trading desks, ensured all trade documents are completed and reported status to clients. Developed and maintained relationship with both new and existing clients. Served as liaison between management, compliance and various business units throughout the firm. Oversaw opening if new accounts. Collected and documented account specific information’s, retrieved documents from clients and ensured compliance with regulatory procedures. Monitored and reviewed client account activity to ensure accuracy, proper settlement of transactions and reconciliation of sales credits and fees. Maintained accounts including money transfer, address changes and others. Completed adhoc and client related projects. Analyzed client accounts and created client reports. Handled trade equities, fixed income and options. Developed financial models. Collaborated with advisors to identify prospective clients and create marketing pitch. Provided operational support.

Newbrook Capital Management/NBGI, New York • NY 5/1996 – 6/2005
Senior Sales Assistant
Performed Asset management and provided customer service to clients. Utilized operational and NFS Bach Office Application. Opened brokerage accounts, ensured compliance with industry and firm standards. Updated and change and brokerage accounts. Reviewed account documents to ensure all data’s are accurate and complete. Handled inquiries regarding new accounts and retrieved documents via fax or email. Reviewed reports from new accounts department assigned by the manager. Performed updates and /or changes to existing accounts.

Paine Webber, New York • NY 5/1993 – 5/1996
Senior Sales Assistant
Served as assistant to the Senior Vice President Retail Broker (Chairman’s Counsel). Maintained extensive client contact. Participated with all activities involving prospective or existing clients. Handled client account and provided customer service. Maintained client portfolio and oversaw account-opening process for new and existing clients. Gathered account specific information, retrieved relevant executed documentation and ensured compliance with regulatory procedures.

Smith Barney, Harry Upham & Co. Inc., New York • NY 9/1989 – 3/1993
Senior Sales Assistant
Functioned as assistant to two Retail Brokers. Performed daily contact with customers. Handled opening of accounts, performed account maintenance, posted correspondences and provided customer service. Performed various duties assigned by manager.

OTHER EXPERIENCE (1983-1989)

K/G Securities Division of Ladenburg, Thalman & Co. Inc. Sales Assistant 5/1985 – 4/1989
Jeffries and Company, New York NY Account Executive Trainee 3/1983 – 8/1984

EDUCATION AND CREDENTIALS

Business Administration, 1982
Queens College

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