Volunteering: education resources, housing, children and elderly services
John Wainwright
Chicago
Summary
I am a FINRA licensed (Series: 24, 7, 6, 3, 63, SIE) financial service professional in the brokerage & banking industries with a decade of experience across multiple areas of the financial service industry through a range of customer service and operations roles addressing; KYC, account transfers & operations, cash transactions, customer service, FINRA rules and regulations, retirement planning, small business banking & lending, brokerage margin requirements, account maintenance.
I am looking for a role that allows me to work hard but also think ahead on how to make the process better.
Overview
1
1
Certification
10
10
years of professional experience
Work History
Banking & Transfers Specialist
Tastytrade, Inc
05.2021 - 06.2026
- Processed a range of transfer requests and with a high level of efficiency and thoughtful customer service
- Brokerage account transfers (ACAT, DTC, DRS, DWAC)
- Money transfers (Wire, ACH, RTP, internal account transfers and checks)
- General customer service on all Banking & Transfers topics (email and phone)
- Internal service - resolved phone and chat representative Banking & Transfers inquiries - Assisted with review and creation of external resources for clients and internal resources for colleagues
- Led training sessions for new staff and provided consistent informal feedback and guidance, fostering knowledge and community among teams
- Extensive FINRA and clearing firm processing knowledge
Licensed Service Representative
New York Life Insurance Co
10.2018 - 05.2021
- Processed and reviewed customer requests at a high rate through the Salesforce platform, ensuring timely and accurate processing including; withdrawals, account maintenance, general client inquiries.
- Problem resolution in client phone call interactions, transaction processing and account maintenance.
- Held a role in our Employee Engagement Team; organizing meetings, leading events, collaborating and coordinating communications across multiple departments
Licensed Relationship Manager
Key Bank
07.2016 - 10.2018
- Cultivated strong client relationships through personalized financial strategies and proactive communication.
- Served as the sole branch representative that assisted clients with retirement planning and investment activity.
- The "go to" for product/procedure and system knowledge
- Completed client asset reviews and assisted Financial Advisor with planning on the following; credit, deposit accounts, home lending, investment banking, small business banking and customer service.
Education
Bachelor of Arts - Economics & Spanish
Ohio Wesleyan University
Delaware, OH05-2016
Skills
- Extensive FINRA knowledge (Series; 3, 6, 63, SIE, 7, 24)
- Expert in transaction processing (brokerage and bank transfers)
- Lengthy Compliance and KYC work in roles & tasks adjacent to these teams
- Great communication & training skills
- Positive attitude (client and interpersonal), forward thinking and hard working, eager to build and improve processes
Certification
FINRA Certifications Series: 3, 6, 63, 7, 24, SIE
Interests
Timeline
Banking & Transfers Specialist
Tastytrade, Inc
05.2021 - 06.2026
Licensed Service Representative
New York Life Insurance Co
10.2018 - 05.2021
Licensed Relationship Manager
Key Bank
07.2016 - 10.2018
Bachelor of Arts - Economics & Spanish
Ohio Wesleyan University