Amanda Michalec
San Antonio,TX
Summary
A results-oriented finance professional with extensive experience in customer service, financial planning, and sales. Demonstrates agility, superior communication, and analytical abilities, coupled with an in-depth knowledge of financial products and services.
Overview
25
25
years of professional experience
Work History
Compliance Branch Office Examiner
Next Financial Group, Inc.
Houston, TX
11.2021 - 08.2023
- Conducted more than 70 audits each year for Offices of Supervisory Jurisdiction (OSJs) and their representatives.
- Ensured that all representatives stayed compliant with firm policies, regulatory rules, and statutes.
- Analyzed existing processes and identified inefficiencies during branch exams, resulting in less paperwork and better time management.
- Improved audit evaluations through the implementation of comprehensive research and analysis techniques.
- Conducted Branch Exams with utmost confidentiality, ensuring sensitive information was managed securely.
- Streamlined examination processes for increased efficiency and consistency in decision-making.
High Net-Worth Specialist Manager
Victory Capital
San Antonio, Texas
03.2021 - 08.2021
- Established and oversaw a support desk for representatives serving high-net-worth clients.
- Implemented new processes and procedures that enhanced team productivity.
- Performed in-depth research to detect trends and guide decision-making in business expansion efforts.
- Handled 30 to 50 service-related cases daily, encompassing account inquiries, research, and resolution of issues.
- Supervised the daily operations of a bustling office, guaranteeing efficient and precise task completion.
- Cultivated and maintained relationships with essential clients and partners to foster growth.
Compliance & Business Analyst/Project Management
USAA (contract employee)
San Antonio, Texas
03.2019 - 01.2021
- Led five projects that reduced risk in processes and procedures.
- Conducted risk analysis and developed mitigation strategies.
- Set project timelines and conducted reviews in compliance with FDIC, SEC, OCC, FINCEN, FINRA, Reg E, Reg C, Written Supervisory Procedures, and Anti-Money Laundering regulations.
- Carried out gap analysis to pinpoint improvement opportunities.
- Worked with stakeholders to establish project goals and standards.
- Examined critical business elements to assess result-driving factors and compiled the findings into presentations.
Internal Regional Director-Executive Assistant
Investment Professionals, Inc. (Ameriprise Financial)
San Antonio, Texas
03.2010 - 02.2019
- Performed daily, monthly, and annual metric calculations for the firm using Excel spreadsheets and pivot tables.
- Oversaw 65 registered representatives who consistently surpassed monthly and annual sales targets by over 100%.
- Provided mentorship and coaching to representatives through the use of Performance Improvement Plans (PIPs) and supplementary training.
- Updated processes and procedures to comply with the latest Federal and State regulations.
- Executed projects for seminars, vendor management training, branch training, and compliance reviews to comply with regulatory standards.
- Generated five weekly reports to evaluate job performance in comparison to team objectives.
Education
No Degree - Business Administration
The University of Texas At San Antonio
San Antonio, TX06.2025
Skills
- Microsoft Office 365 Advanced
- Report Preparation Event and Meeting Planning
- File Management Strategic Planning
- Operations Management Office Management Time Management
- Expense Reporting Inventory Management
- Management (CRM) Database Entry Sales Force Management
- Risk assessment skills
- Excellent customer service and relationship skills
- Proficient in data analysis
Timeline
Compliance Branch Office Examiner
Next Financial Group, Inc.
11.2021 - 08.2023
High Net-Worth Specialist Manager
Victory Capital
03.2021 - 08.2021
Compliance & Business Analyst/Project Management
USAA (contract employee)
03.2019 - 01.2021
Internal Regional Director-Executive Assistant
Investment Professionals, Inc. (Ameriprise Financial)
03.2010 - 02.2019
No Degree - Business Administration
The University of Texas At San Antonio