123 Elm Street • Nashua, NH 03063 • H: 603-555-5555 • firstname.lastname@example.org
Regulatory Operations • Compliance • Suitability Operations
Analytical and detail-oriented financial professional with nine years of experience in financial services, retirement
investments, inheritor services, and estate planning. Expertise in brokerage trading, compliance regulations, and inherited
investments operations. Dynamic leader with strengths in employee management, training and development, team
collaboration, and client oversight. Recognized for service excellence and team alliance. Proficient in Microsoft Office.
ABC GLOBAL, Nashua, NH, 20xx-Present
Senior Trader/Team Lead Financial Service Representative, 20xx-Present: Oversee daily operations through a team of
high-performance financial service representatives. Collaborate across the organization with financial advisors to provide
expertise on critical issues and service matters. Train and orient new hires on system applications, policies, and
• Devised and implemented processes that maximized utilization of representatives as resources and encouraged an
even more client-centric focus. Trained new and existing employees on the new system.
• Conferred with the Compliance Department in development of a complex customer identification program and
recommended innovative approaches to streamline execution, which were adopted and implemented.
• Exceeded the organization's expectations in concert with the financial service team; broke the record with an all-time
high call response volume, taking over 4,000 calls in a two-month span, while maintaining quality levels in excess of
• Developed a team recognition award that honored representatives for outstanding service and excellence.
• Obtained FINRA Series 24 License.
Service Trader, 20xx-20xx: Identified investors’ financial needs and provided expert advisement. Executed equity trades
in a highly active environment. Collaborated with management as representative liaison.
• Placed 60-75 trades per day. Ranked in the top 10% of peers in reaching weekly and monthly sales objectives and as
one of the top 15% in qualifying sales leads.
• Earned representative of the month status and recognition for two consecutive years of error-free trading.
• Played a key role in boosting employee morale by contributing to development of an employee recognition program.
• Obtained a Series 7 License and achieved one of the highest scores within the class.
Volunteer at events “Pull for Kids,” “Amazing Pace,” and “Tulip Day” for the Lung Association of Ontario, winning the
Outstanding Volunteer Award in 20xx.
Lectured to mathematically gifted children at the grade school level at the Small Academy of Sciences from 20xx to 20xx.
Appointed by the Rector of the University to help organize the 1st international interdisciplinary seminar “Philosophy of
Science” for the University of XYZ in 20xx.
B.S. Finance, XYZ University, Nashua, NH, 20xx