Annette Bowman
General Securities Principal
Salt Lake City,UT
Summary
Forward-thinking leader experienced in managing teams of employees, with a focus on accomplishing challenging goals. Possesses excellent communication skills to convey a clear vision, ensuring the formation of cohesive, high-performing teams. Demonstrates strong leadership abilities and problem-solving skills, aiming to streamline processes to enhance customer satisfaction and drive organizational efficiency. Utilizes independent decision-making skills and exercises sound judgment to contribute positively to company success.
Overview
14
14
years of professional experience
Licensing
- FINRA Series 24
- FINRA Series 9/10
- FINRA Series 4
- FINRA Series 7
- FINRA Series 63
- FINRA SIE
Work History
Senior Manager/AVP
E*TRADE From Morgan Stanley
02.2023 - 12.2023
- Continued performing job tasks of prior role (listed below) while taking on additional job functions that allowed for change across the line of business.
- Managed large-scale projects and introduced new systems, tools, and methods to streamline processes, reduce risk, and achieve challenging objectives.
- Provided strong leadership to cultivate positive rapport with fellow employees, boost morale, promote employee retention, increase productivity, and facilitate working relationships.
- Worked with senior and executive level leadership to communicate expectations for performance, and uncover effective ways to meet those expectations.
- Monitored compliance oversight of team and representatives.
Manager
E*TRADE Financial
07.2018 - 02.2023
- Continued performing job tasks of prior role (listed below) while taking on a team of direct reports and expanding job functions.
- Trained new team members by educating on company procedures and policies in order to promote productivity, accurance, and friendly customer service.
- Worked with multiple teams to provide optimal real-time coverage to meet production goals, improve client satisfaction, and meet shareholder SLA expectations.
- Accomplished tasks within established timeframes.
- Resolved staff member conflicts, actively listening to concerns and finding appropriate middle ground.
- Maximized performance by monitoring daily activities, evaluating employee performance, and providing coaching and training in order to improve skills.
- Recruited, interviewed and hired employees.
- Assisted in organizing and overseeing assignments to drive operational excellence.
- Performed managerial tasks such as monitoring time & attendance, managing leave requests, issuing behavioral actions, and completing administrative tasks.
- Reported compliance and policy violations to the appropriate Compliance team on a monthly basis.
- Presented in sessions that promoted employee development.
Team Lead
E*TRADE Financial
10.2016 - 07.2018
- Coached team members in techniques necessary to complete job tasks and comply with company policies and federal regulations.
- Monitored team performance and provided constructive feedback to increase productivity and maintain quality standards.
- Managed and motivated employees to be productive and engaged in work.
- Supervised team members to ensure compliance with set procedures and quality requirements.
- Maintained professional demeanor by staying calm when addressing unhappy or angry customers.
- Provided coverage during time periods when the manager was unavailable.
- Took on challenging tasks provided by management, and completed those tasks in a timely manner.
- Showed initiative by creating and streamlining team processes in order to provide the team with observable data that would drive productivity.
Senior Financial Services Representative
E*TRADE Financial
12.2014 - 10.2016
- Exercised leadership capabilities by displaying high performance characteristics and successfully motivating and inspiring others.
- Proved successful working within tight deadlines and a fast-paced environment.
- Demonstrated a high level of initiative and creativity while tackling difficult tasks.
- Organized and detail-oriented with a strong work ethic.
- Demonstrated respect, friendliness, and a willingness to help wherever needed.
- Displayed excellent verbal and written communication skills.
- Used critical thinking to break down problems, evaluate solutions and make decisions.
- Developed and maintained courteous and effective working relationships.
- Managed time efficiently to complete all tasks within deadlines.
Administrative Assistant
Financial Insight Center
06.2014 - 10.2014
Administrative Assistant
Dorsey & Whitney
12.2011 - 04.2014
Concierge
Snowbird Ski & Summer Resort
04.2010 - 11.2011
Education
Bachelor of Science - Business Management
Western Governor's University
Millcreek, UTBachelor of Arts - Instrumental Music Education
University of Utah
Salt Lake City, UTHigh School Diploma -
Los Lunas High School
Los Lunas, NMSkills
- Cross-Functional Communication and Collaboration
- Performance Management
- Team Leadership and Delegation
- Verbal and Written Communication
- Complex Problem-Solving
- Microsoft Office (Excel, Word, Powerpoint, Outlook)
- Compliance Oversight and Supervision
- Conflict Resolution
- Quality Assurance
- Hiring/Onboarding
- Experience with and knowledge of Securities Regulations
- Risk Management
Timeline
Senior Manager/AVP
E*TRADE From Morgan Stanley
02.2023 - 12.2023
Manager
E*TRADE Financial
07.2018 - 02.2023
Team Lead
E*TRADE Financial
10.2016 - 07.2018
Senior Financial Services Representative
E*TRADE Financial
12.2014 - 10.2016
Administrative Assistant
Financial Insight Center
06.2014 - 10.2014
Administrative Assistant
Dorsey & Whitney
12.2011 - 04.2014
Concierge
Snowbird Ski & Summer Resort
04.2010 - 11.2011
Bachelor of Science - Business Management
Western Governor's University
Bachelor of Arts - Instrumental Music Education
University of Utah
High School Diploma -
Los Lunas High School