Joe Fernandez
Dawsonville,GA
Summary
Resourceful Officer with a knack for completing tasks efficiently and productively. Specialize in strategic planning, conflict resolution, and risk management, ensuring smooth operations and safety protocols are always followed. Excel in leadership, communication, and problem-solving, bringing value to teams by fostering collaboration and driving positive outcomes.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Agency Supervisory Officer
The Piedmont Group
Dunwoody, Georgia
11.2011 - Current
- Enforced compliance with regulatory standards and company policies
- Conducted investigations into complaints from customers or employees regarding violations of company policy.
- Drafted reports outlining findings from investigations and recommending corrective action.
- Supervised subordinate staff in carrying out daily duties and activities.
- Participated in regular meetings with upper management regarding progress updates on current initiatives.
- Resolved conflicts between employees or departments that arose due to misunderstandings or miscommunication.
- Ensured the security and confidentiality of sensitive information.
- Implemented risk management strategies to mitigate potential threats.
- Analyzed key performance indicators to identify effective strategies.
Regional Sales Manager
Prudential Financial
Atlanta, Georgia
03.2008 - 01.2011
- Recruited, trained, coached, mentored, and evaluated a team of financial professionals.
- Coached, developed and motivated team to achieve revenue goals.
- Assisted with resolving customer complaints or disputes in a timely manner.
- Ensured compliance with all applicable laws, regulations, policies, procedures.
- Identified opportunities for cross-selling and up-selling within existing customer base.
Education
Bachelor of Arts - Mass Media / Communications
Andrews University
Berrien Springs, MI05-1977
Skills
- Strategic planning
- Risk assessment
- Interview techniques
- Team collaboration
- Reporting and documentation
- Cultural awareness
- Community relations
Certification
- FINRA General Securities Principal S-24
- FINRA Municipal Securities Principal S-53
- FINRA General Securities Representative S-7
- Uniform Investment Adviser Law Examination S-65
- Securities Industry Essentials Examination SIE
Languages
Spanish
Professional
Timeline
Agency Supervisory Officer
The Piedmont Group
11.2011 - Current
Regional Sales Manager
Prudential Financial
03.2008 - 01.2011
Bachelor of Arts - Mass Media / Communications
Andrews University