Summary
Overview
Work History
Education
Skills
Websites
Certification
Affiliations
Timeline
Generic

Rafia Zaman

Summary

Diversified Financial Specialist skilled in Compliance, Operations, and offering competent consultative advice and counsel to clients. Supports financial management of customer work requests and reviews reports for accuracy. Works with internal and external customers and understands and assesses needs, processes and functions to make informed critical decisions and achieve objectives. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals. Successfully completed Lean Six Sigma Green Belt Certification and currently studying for PMP Certification.

Overview

8
8
years of professional experience
1
1
Certification

Work History

Financial Coach

Ethnos Financial Group
10.2023 - Current
  • Guide participants in development of realistic goals and enhance accountability on financial matters.
  • Educate clients on various financial matters and provide professional recommendations on investment opportunities, products and services based on individual needs.
  • Enhance client financial stability by developing personalized financial plans and strategies.
  • Meet with clients to discuss assets, expenses, and long-term and short-term investment goals to devise personalized financial plans.
  • Facilitate presentation and recommendation of services by optimizing client relationships.
  • Recruit, train and mentor junior financial and support staff to generate ideas, share knowledge and grow firm.
  • Present financial plans and investment recommendations to clients.

SR. Operations Processing Specialist (remote)

Advisor Group
01.2022 - 12.2022
  • Provided service and support to Financial Professionals by processing requests and resolving issues.
  • Served as subject matter expert for onshore/offshore associates.
  • Participated in various process modification projects to identify areas of improvement and make adjustments.
  • Maintained open communication by presenting regular updates on assigned project status to managements.
  • Streamlined data entry processes for increased accuracy and reduced errors in documentation.
  • Supported internal teams on various financial transactions, cashiering, ad hoc assessments, IRA money movement etc. following FINRA's risk fundamentals.
  • Monitored all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Liquidity, and Segregation of Client Assets).
  • Provided information for basic inquiries on research content and services to senior management and advisors.
  • Used various software / financial platforms including, Microsoft Office, Salesforce, FEI
  • Contributed to team success by consistently meeting or exceeding productivity targets and quality standards.
  • Implemented new technologies designed to improve accuracy, speed up processing times, reduce costs.
  • Organized information by using spreadsheets, databases or word processing applications.
  • Collaborated with cross-functional teams to address complex issues and develop solutions that improved overall operations.

Case Advisor (contract)

Wells Fargo Advisors
04.2021 - 10.2021
  • Investigated customer complaints, identified root causes and implemented corrective actions.
  • Developed and managed complaint tracking system for monitoring progress of issues resolution.
  • Drafted responses to customers regarding their complaints and maintained effective communication with them.
  • Maintained accurate records of all customer complaints, ensuring timely resolution.
  • Identified systemic problems in processes leading to customer dissatisfaction and recommended solutions.
  • Remained calm and professional in stressful circumstances and effectively diffused tense situations.
  • Resolved customer inquiries and complaints requiring management-level escalation.
  • Reviewed completed work to verify consistency, quality and conformance.
  • Created reports summarizing key findings from investigations into customer complaints.
  • Received Training on compliance, regulatory and legal matters.
  • Monitored investment portfolios to ensure compliance with the Investment Guidelines.
  • Monitored all inherent industry risks.
  • Used Microsoft Office (Word, Excel, Outlook, and PowerPoint) extensively.
  • Produced thorough, accurate and timely reports of assigned activities.
  • Worked under pressure in a dynamic and complex environment.

Financial Advisor

Edward Jones
12.2019 - 03.2021
  • Conducted detailed analysis of clients' current financial situation, including risk assessment, cash flow management, and retirement planning.
  • Built strong relationships with clients, fostering trust and loyalty in managing their financial portfolios.
  • Developed comprehensive financial plans for clients to achieve short-term and long-term goals.
  • Analyzed potential investments such as stocks, bonds, mutual funds, real estate and insurance products for clients.
  • Researched economic trends and market conditions to provide up-to-date information on investment options available to clients.
  • Prepared quarterly performance reports for existing clients detailing the progress of their investments over time.
  • Identified new business opportunities through networking events or referrals from existing clients.
  • Managed relationships with outside vendors such as attorneys, accountants, when necessary.
  • Actively participated in marketing initiatives aimed at increasing brand awareness within the community.
  • Provided ethical, objective and holistic financial planning advice to clients.
  • Followed-up with clients regularly and implemented consultative techniques to stay on top of financial means and objectives.
  • Tracked market movements daily using various analytical tools and software programs.

Personal Banker II

First Convenience Bank
02.2018 - 11.2019
  • Improved customer satisfaction by providing personalized banking solutions and exceptional service.
  • Researched customer inquiries and reported findings in a timely manner.
  • Generated new business by conducting thorough financial needs assessments and offering tailored products to clients.
  • Streamlined daily operations, ensuring accurate transaction processing and efficient customer service delivery.
  • Developed relationships with customers by providing exceptional service in order to increase sales opportunities.
  • Identified potential fraud risks on accounts and reported suspicious activities to management.
  • Participated in training sessions regarding new banking products or services.
  • Monitored changes in laws related to banking policies and procedures.
  • Verified customer identity and reviewed documentation for accuracy.
  • Facilitated resolution of customer disputes in a fair manner while protecting the interests of the bank.
  • Followed operational standards, promoting security, risk management and compliance.


Point of Sales Associate

Kohl's
07.2016 - 01.2018
  • Increased customer satisfaction by providing efficient and accurate Point of Sale transactions.
  • Assisted in inventory management, accurately tracking stock levels and reporting discrepancies to supervisors.
  • Enhanced store revenue by upselling products and suggesting additional items during checkout process.
  • Maintained a clean and organized workspace, ensuring a positive shopping experience for customers.
  • Contributed to overall store performance through effective teamwork and collaboration with colleagues.
  • Handled returns and exchanges professionally, resolving customer concerns promptly and courteously.
  • Followed all safety regulations in accordance with company policies.
  • Provided exceptional customer service by answering inquiries, locating products, and offering assistance as needed.
  • Adhered to loss prevention policies by monitoring suspicious activity at the register area.
  • Cross-trained in various departments throughout the store to assist with tasks when needed.
  • Supported team members during peak times or when short staffed.
  • Processed efficient and accurate cash, check, debit and credit card payments using Point-of-Sale system.

Education

SAS 9.4 Cert Prep: Part 01 SAS Programming Essentials -

LinkedIn

SAS 9.4 Cert Prep: Part 07 Using SQL in SAS -

LinkedIn

PMP Certification -

UDEMY
05.2024

Lean Six Sigma Green Belt -

Emory University
Atlanta, GA
01.2024

Series 66 – FINRA -

FINRA
08.2020

Series 7 – FINRA -

FINRA
03.2020

Securities Industry Essentials (SIE) - FINRA -

FINRA
01.2020

Master of Science - Economics

University of Dhaka
Bangladesh
01.2000

Bachelor of Science - Economics

University of Dhaka
Bangladesh
01.1999

Skills

  • Salesforce Expert
  • Root Cause Analysis
  • Data Visualization
  • Project Planning
  • CTQ
  • Experience in the securities, compliance or financial regulatory industry
  • Advanced oral and written communication skills
  • Process Improvement
  • New strategic ideas
  • Knowledge of FINRA departments and their mandates
  • Advanced knowledge of Excel, PowerPoint, Word, SharePoint
  • Knowledge of Power BI
  • Proactively identify operational needs
  • Work autonomously to deliver result
  • Ability to interact with all levels of personnel within the organization
  • Advanced ability to manage time effectively and complete assignments within budgeted time frames
  • Advanced critical thinking, research, and analytical skills
  • Information Verification
  • Data Processing
  • Error Identification
  • Advising on Investments
  • Developing Financial Plans
  • Complaint Resolution
  • Strong Analytical and Problem Solving Skills

Certification

LEAN SIX SIGMA GREEN BELT ( EMORY UNIVERSITY)

SIE, SERIES 7 TOP OFF, SERIES 66 (FINRA)


Affiliations

  • Project Management Institute

Timeline

Financial Coach

Ethnos Financial Group
10.2023 - Current

SR. Operations Processing Specialist (remote)

Advisor Group
01.2022 - 12.2022

Case Advisor (contract)

Wells Fargo Advisors
04.2021 - 10.2021

Financial Advisor

Edward Jones
12.2019 - 03.2021

Personal Banker II

First Convenience Bank
02.2018 - 11.2019

Point of Sales Associate

Kohl's
07.2016 - 01.2018

SAS 9.4 Cert Prep: Part 01 SAS Programming Essentials -

LinkedIn

SAS 9.4 Cert Prep: Part 07 Using SQL in SAS -

LinkedIn

PMP Certification -

UDEMY

Lean Six Sigma Green Belt -

Emory University

Series 66 – FINRA -

FINRA

Series 7 – FINRA -

FINRA

Securities Industry Essentials (SIE) - FINRA -

FINRA

Master of Science - Economics

University of Dhaka

Bachelor of Science - Economics

University of Dhaka

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Rafia Zaman