Austin Kelly
Windsor,CO
Summary
Bringing almost 20 years of experience in the Investment Advisory industry with strong customer service and operational skills. Seasoned compliance professional well-versed in policy development, training management and reporting. Well-organized and systematic with excellent communication and planning abilities.
Overview
19
19
years of professional experience
Work History
Servicing Advisor / Operations
Cosner Financial Group
08.2004 - Current
- Carry passion for working with and connecting with clients through interpersonal skills, best-in-class customer service and serving as subject matter expert
- Met and collaborated with existing clients to ascertain financial goals and provide recommendations on investment solutions
- Technically proficient researching and implementing all systems to include development, organization and maintaining databases for Laserfiche and CRM; system expertise includes Redtail CRM, GoTo Connect phone system, Morningstar Office, Microsoft Office
- Successful meeting Advisors specific system needs through customization
- Administer strong analytical sense to finding solutions to complex problems through enjoyment in evaluating processes, systems, and structures to ensure best service, compliance and operational need is provided
- Implement changes to better streamline both business and operations within office to include establishing key procedures for client onboarding and quarterly reporting
Chief Compliance Officer
Cosner Financial Group
07.2015 - 09.2023
- Support efforts combining compliance documents and processes from new business into existing ADV 2A, which include Wrap Program and sub-Advisor
- Cross trained key administrative professional who transitioned with new company
- Implementations and changes management provides full understanding to each book of business, and tailor processing to minimize inconveniences both client bases
- Development of compliance program tailored to business encompassing systems implementation to meet business needs and satisfy changing regulatory guidelines effectively and efficiently
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Provide guidance, recommendations, and training to improve business' understanding of related laws and regulatory requirements
Education
BBA - Accounting And Finance
The University of Texas At San Antonio
San Antonio, TX05.2004
Skills
- Operational Analysis
- Critical Thinking
- Client Meetings
- Effective Communicator
- Policy Development
- Integrity and Transparency
- Regulatory Compliance
- Process Improvement
- Risk and Mitigation Analysis
- Systems Thinker
- Adaptable and Flexible
- Complex Problem Solving
- People and Culture
- Critical Thinking
Additional Information
Project Self-Sufficiency - 07/18 to Present
Board of Directors - Finance Committee
Timeline
Chief Compliance Officer
Cosner Financial Group
07.2015 - 09.2023
Servicing Advisor / Operations
Cosner Financial Group
08.2004 - Current
BBA - Accounting And Finance
The University of Texas At San Antonio
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