Summary
Overview
Work History
Education
Skills
Certification
ROBUST EXPERIENCE
Affiliations
Timeline
Generic

Carla Johnson

Moorseville,NC

Summary

Resourceful and independent professional with a proven track record in quality assurance and customer complaint resolution. Versatile specialist with strong leadership, planning, and problem-solving skills, backed by several years of experience. Recognized for meticulous attention to detail and a commitment to enhancing business processes. Proficient in QA methodologies and tools, driving results through effective analysis and implementation.

Overview

14
14
years of professional experience
1
1
Certification

Work History

Senior Ops Specialist/Advisor Support

Osaic Wealth Inc., formally Advisor Group
09.2021 - Current
  • Coordinated cross-departmental collaboration to enhance workflow efficiency.
  • Participated in training and compliance initiatives to uphold regulatory standards.
  • Identified customer needs swiftly and effectively to improve service delivery.
  • Utilized document management system for organized, accessible company files.
  • Maintained positive relationships with staff and management to foster teamwork.
  • Analyzed key performance indicators to develop effective business strategies.
  • Assessed advisory firms for compliance with FINRA and SEC regulations.
  • Processed transactions accurately while ensuring adherence to established procedures.

Notary

State of North Carolina
03.2018 - Current
  • Currently Commissioned

Director of Client Services/ Financial Paraplanner

Spectrum Financial Inc
05.2017 - 09.2021
  • Analyzed data from various sources to evaluate business operations and provide improvement recommendations.
  • Created spreadsheets in Microsoft Excel for tracking information and preparing detailed reports.
  • Generated weekly and monthly financial dashboards for executive review of performance metrics.
  • Prepared ad-hoc financial analyses as requested by senior management for informed decision-making.
  • Conducted regular portfolio reviews ensuring alignment with clients' goals and risk tolerances.
  • Educated clients on complex financial concepts, products, and strategies tailored to individual needs.
  • Developed client retention strategies that resulted in high satisfaction and referral rates.
  • Maintained compliance with regulatory standards while managing multiple accounts efficiently.

Administrative / LPN

Home Health Agency
Sarasota, FL
03.2011 - 11.2016
  • Instructed patients and families on disease prevention, nutrition, and medication management.
  • Monitored patient progress during treatments, reporting abnormalities to healthcare team.
  • Provided emotional and physical support to patients and families during challenging times.
  • Performed wound care, including dressing changes, cleaning wounds, and applying treatments.
  • Assisted physicians with patient care tasks, including monitoring vital signs and administering injections.
  • Developed individualized care plans based on comprehensive assessments of patient needs.
  • Coordinated with interdisciplinary teams to ensure quality patient care and communication.
  • Documented patient medical histories, symptoms, and vital signs accurately for ongoing care.

Education

Associate of Arts - Liberal Arts And Sciences

Catawba Valley Community College
Hickory, NC
05-2017

Skills

  • Customer relationship management
  • Needs assessment
  • Document management
  • Cross-department collaboration
  • Regulatory compliance
  • Interpersonal communication
  • Resourcefulness
  • Proactive attitude
  • Entrepreneurial skills
  • Organizational skills
  • Tenacity and ethics
  • Marketing and sales
  • Technology proficiency
  • Attention to detail
  • Research skills
  • Compliance management
  • Financial analysis
  • Client education
  • Teamwork and collaboration
  • Client retention strategies
  • Effective communication skills
  • Problem-solving abilities
  • Transaction processing expertise
  • Vendor relations management
  • Spreadsheet creation proficiency
  • Salesforce proficiency
  • Quality assurance practices
  • Knowledge sharing techniques

Certification

  • College for Financial Planning- Financial Para-Planner Qualified Professional- Designation
  • Investing Retirement Assets- Certification
  • Problematic Beneficiary Designations- Certification
  • Financial Planning Process Certification
  • Microsoft Office Certificate
  • UNC Pembroke- General Coursework

ROBUST EXPERIENCE

  • Administrative
  • Meet with new/prospective clients to discuss company services, assess needs, and determine plan of action.
  • Arrange meetings and make appointments on a priority basis
  • Scheduling; new client and network meetings, client care
  • Transmit all order instructions for Brokerage and Sponsor accounts as appropriate
  • Assess client's needs and requirements, formulate action plans
  • Prepare reports and documents
  • Ensuring compliance with local, state, and federal regulations
  • Marketing and Community Involvement
  • Create and manage various marketing strategies — social media, Internet search engines, conducted presentations for industry professionals, clients, and prospects.
  • Conduct market research and prepare presentations.
  • Participate on the Chamber of Commerce
  • Planning and coordinating events.
  • Human Resources
  • Perform various human resources dues — recruitment, on-boarding new employees
  • Maintain records ensuring contracts are completely accurate.
  • Prepare, record, monitor client account care for accuracy and appropriate monitoring.
  • Well Skilled
  • Pershing LLC. - NetX360 | National Financial Services LLC. - Wealthscape
  • Salesforce | RightBridge | eMoney | FMG | Redtail | Morningstar | Albridge
  • Oneview | Constant Contact …and many others

Affiliations

  • Boxing
  • Fitness
  • animals
  • mountains
  • beach
  • traveling
  • piano
  • cooking and baking
  • helping others
  • refurbishing
  • gardening
  • word/ IQ puzzles
  • literature
  • writing

Timeline

Senior Ops Specialist/Advisor Support

Osaic Wealth Inc., formally Advisor Group
09.2021 - Current

Notary

State of North Carolina
03.2018 - Current

Director of Client Services/ Financial Paraplanner

Spectrum Financial Inc
05.2017 - 09.2021

Administrative / LPN

Home Health Agency
03.2011 - 11.2016

Associate of Arts - Liberal Arts And Sciences

Catawba Valley Community College

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