Jessica Shadrick
Freeburg ,IL
Summary
Senior Supervisory Control Specialist experienced in supervisory controls, risk assessment, and quality assurance. Known for collaborative team efforts and consistent achievement of operational goals. Skilled in data analysis, regulatory compliance, and implementing control frameworks. Reliable and adaptable, consistently delivering results in dynamic environments.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Senior Superivisory Control Specialist, AVP
Wells Fargo Advisors
St Louis, MO
08.2021 - Current
- Perform annual quality assurance reviews for assigned markets to identify potential weaknesses that could impact the annual compliance examination.
- Ensure adherence to firm and industry regulations through accurate documentation of supervisory and control related activities.
- Execute follow-up reviews post-annual compliance examination to ensure thorough evaluation and resolution of findings.
- Execute special projects and ad hoc assignments, illustrating flexibility and proficiency in prioritizing and managing critical tasks.
- Facilitate communication of ongoing policy and procedure changes to leadership, ensuring alignment and compliance.
Field Supervision Director
Edward Jones
St Louis, MO
04.2019 - 08.2021
- Enforced firm and regulatory compliance rules and policies for all associates at assigned branch locations.
- Utilized trade and activity monitoring systems and exception reports to identify potential suitability concerns and mitigate risk to clients, and the firm.
- Guided branch teams in building successful and compliant business practices.
- Contacted clients proactively to discuss product-specific risks and assess their understanding of investment strategies.
- Performed supervisory visits annually and documented relevant risk factors and follow-up requirements.
New Client Development Specialist
TD Ameritrade
St Louis, MO
10.2018 - 04.2019
- Conducted needs based consultations to prospective and new clients in order to recommend specific products and services.
- Engaged clients in a holistic portfolio review to better understand their investment goals and guide them to services that would help them meet their personal financial goals.
- Built ongoing relationships with branch consultants and managers to ensure that lead processes were being followed up with and client’s expectations were met.
- Ensured all paperwork, policy, and procedures were followed in the opening of new accounts and resolved client requests in order to satisfy compliance requirements.
- Provided recommendations for process improvements to enhance the client experience.
Financial Services Representative
TD Ameritrade/ Scottrade
St Louis, MO
05.2017 - 10.2018
- Provided excellent customer service, resolving issues quickly and maintaining long-term client relationships.
- Assisted clients in executing accurate buy and sell orders on equities, fixed income products and derivatives.
- Acted as a subject matter expert in a wide range of client issues. Researched and resolved complex client issues with back office support teams.
- Maintained up-to-date knowledge of industry regulations, trends, and best practices to provide accurate information to clients.
Education
Bachelor Of Science - Business Administration
McKendree University
Lebanon, IL11-2014
Skills
- Legal, Regulatory, and Firm Compliance
- Risk Identification & Mitigation
- Quality Assurance & Control Testing
- Informed Decision Making & Risk-Based Judgement
- Policy Interpretation
- Verbal and written communication
- Cross-Functional Collaboration (Supervision, Compliance, Audit)
- Training, Coaching & Policy Education
Certification
FINRA Series 7
FINRA Series 9
FINRA Series 10
FINRA Series 24
FINRA Series 63
FINRA Series 66
FINRA Securities Industry Exam (SIE)
Timeline
Senior Superivisory Control Specialist, AVP
Wells Fargo Advisors
08.2021 - Current
Field Supervision Director
Edward Jones
04.2019 - 08.2021
New Client Development Specialist
TD Ameritrade
10.2018 - 04.2019
Financial Services Representative
TD Ameritrade/ Scottrade
05.2017 - 10.2018
Bachelor Of Science - Business Administration
McKendree University