GARRETT KELLEY
Richardson,TX
Summary
People and results-oriented professional with a passion for delivering expertise in analysis, compliance, onboarding, auditing, and collaboration. Proven track record in facilitating collaboration among peers and leaders with a knack for building team culture and morale.
Overview
18
18
years of professional experience
Work History
Compliance Analyst
Cetera Financial
Dallas, TX
09.2025 - Current
- Conducted comprehensive compliance reviews to ensure adherence to regulations and internal policies.
- Reviewed Private Securities Transactions and Annual Training pieces to improve representative experience.
- Collaborated with cross-functional teams to enhance risk management processes and compliance frameworks.
Senior Licensing Coordinator
Fidelity Investments
Westlake, TX
05.2022 - 06.2025
- Facilitated engaging monthly licensing classes for 50-100+ new representatives, ensuring their smooth onboarding and boosting retention rates by enhancing their understanding of products and services.
- Onboarded record 1,100 new associates in 2022, enhancing their integration experience and contributing to a smoother transition into the company.
- Cultivated strong partnerships with Branch and Regional Center Leaders, as well as teams in Onboarding, Compliance, and FINRA, resulting in improved onboarding processes and improved regulatory compliance.
- Revitalized the onboarding experience by not only managing FINRA U4 submissions and crafting engaging interactive rosters, but also scheduling licensing exams, significantly reducing new hire onboarding time, and enhancing overall satisfaction.
Supervisory Delegate
Fidelity Investments
Westlake, TX
04.2014 - 05.2022
- Drove the approval of cash offers, boosting client acquisition and improved retention through personalized incentives.
- Scrutinized client emails, chats, and social media posts, ensuring accuracy and compliance while proactively addressing complaints to improve client experience.
- Collaborated with business partners to analyze key insights, delivering impactful findings to Branch and Market Leaders that informed strategic initiatives across the national Regional Centers.
Electronic Response Manager & 9/10 Supervisor
Fidelity Investments
Westlake, TX
06.2008 - 04.2014
- Led two teams of 15+ representatives, boosting client satisfaction scores by 20% through targeted training and feedback initiatives.
- Refined client emails and chats from representatives for content, compliance, accuracy, and style, enhancing clarity and reducing errors for more effective communication.
- Successfully resolved client instant messaging escalations to deescalate upset clients with complex account issues.
- Facilitated impactful peer coaching sessions for individuals and groups, enhancing skills and confidence among colleagues across various levels.
Education
Bachelor of Science - Economics with Finance
Southern Methodist University
Dallas, TexasSkills
- Salesforce, Miro
- Microsoft Power BI, Power Apps, Excel, Word, PowerPoint
- Employee Onboarding
- Data Analysis & Reporting
- Agile (Scrum, Kanban)
- Certifications: AML, KYC
- Brokerage FINRA Licenses: Series 6, 63, SIE, 7, 9, 10
Timeline
Compliance Analyst
Cetera Financial
09.2025 - Current
Senior Licensing Coordinator
Fidelity Investments
05.2022 - 06.2025
Supervisory Delegate
Fidelity Investments
04.2014 - 05.2022
Electronic Response Manager & 9/10 Supervisor
Fidelity Investments
06.2008 - 04.2014
Bachelor of Science - Economics with Finance
Southern Methodist University
Eagle Scout
Boy Scouts of America - 1988