Summary
Overview
Work History
Education
Skills
Certification
Areas Of Experience
Timeline
Generic

JOSHUA C. COCHERELL

Keosauqua

Summary

Experienced leader with a strong background in guiding teams, managing complex projects, and achieving strategic objectives. Excels in problem-solving, ensuring high standards, and aligning efforts with organizational goals. Collaborative approach and commitment to excellence drive consistently navigating challenges and bringing strong problem-solving skills to new tasks. Adaptability, creativity, and a results-oriented mindset consistently make meaningful contributions and advance organizational goals. Proven ability to exceed targets and drive success in fast-paced environments sets apart. Combining strategic thinking with hands-on experience consistently delivers impactful solutions that enhance organizational performance.

Overview

15
15
years of professional experience
1
1
Certification

Work History

Sr. Supervisory Principal – Complex Product Supervision

LPL Financial
04.2022 - Current
  • Review and approval of transactions for suitability and documentation of fixed and variable life insurance as well as variable, fixed indexed, and fixed annuities
  • Research and review annuity liquidation transaction, free looks, and other transactional activity
  • Serve on various committees and projects as determined by management
  • Assist with other functions within Business risk management as necessary to meet demand
  • Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program/client issues in regard to life insurance, as well as variable, fixed indexed annuities, or other complex products
  • Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures
  • Assist with ad hoc project requests from management
  • Excellent communication skills, both verbal and written.
  • Organized and detail-oriented with a strong work ethic.
  • Demonstrated strong organizational and time management skills while managing multiple projects.
  • Self-motivated, with a strong sense of personal responsibility.
  • Worked effectively in fast-paced environments.
  • Skilled at working independently and collaboratively in a team environment.
  • Proven ability to learn quickly and adapt to new situations.

Loan Officer/Commercial and Consumer Lending

First Iowa State Bank
08.2018 - 02.2021
  • Assisted clients in selecting appropriate loan products for their needs, resulting in higher customer satisfaction.
  • Maintained strict confidentiality of bank records and client information.
  • Delivered exceptional customer service by promptly addressing client concerns and resolving issues as they arose during the lending process.
  • Developed strong relationships with customers through high levels of customer service.
  • Educated potential clients on various loan options, guiding them towards informed decisions that fit their financial goals.
  • Examined customer loan applications for loan approvals and denials.
  • Conducted thorough credit analysis to minimize risk exposure for the financial institution.
  • Cultivated lasting relationships with satisfied clients that led to repeat business as well as referrals from friends or family members.
  • Managed a diverse portfolio of loans while maintaining strong relationships with borrowers and referral partners.

Senior Director Relationship Management/Business Strategy

Cambridge Investment Research Inc
12.2016 - 08.2018
  • Responsible for relationship management of 80 Top Producing Enterprise Groups of the firm
  • Served as a key point of contact on a variety of high-level topics for Enterprise Executives and their financial advisors and ensuring clear communication was provided to respective stakeholders across the firm
  • Worked with enterprise owners on business strategy needs and provided consulting on various high-level topics related to evaluating strategic business decisions
  • Collaborated and partnered with inter-departmental areas of the firm including executives, to ensure service needs of enterprise owners and associated financial advisors were addressed and meeting their expectations
  • Built and maintained relationships with new and existing clients while providing high level of expertise.
  • Responded to customer inquiries and resolved complaints to establish trust and increase satisfaction.
  • Strengthened client relationships by actively listening to their needs and providing tailored solutions.
  • Implemented effective communication strategies to maintain ongoing dialogue with clients, fostering long-term partnerships.

Regional Director/Advocacy and Supervision

Cambridge Investment Research Inc
02.2013 - 12.2016
  • Responsible for enforcement and development of firms’ written supervisory procedures
  • Ensured supervision and compliance related responsibilities of Office of Supervisory Jurisdiction Offices and their designees were being conducted appropriately and satisfied per firm and regulatory supervisory policies
  • Responsible for advocacy and supervision for 80-100 enterprise groups across a region of 5 states
  • Conducted annual on-site supervisory visits of financial advisors that fell under my oversight
  • Worked with enterprise owners on business strategy needs and provided consulting on various topics related to evaluating business decisions
  • Responsible for being a key point of contact on various high-level needs of the firm’s financial advisors, and ensuring clear communication was provided to respective stakeholders across the firm
  • Served as a mentor to emerging leaders, sharing knowledge and expertise while fostering an environment of continuous learning and growth.
  • Championed organizational culture change initiatives that fostered collaboration, innovation, and continuous improvement across all levels of the organization.
  • Improved customer satisfaction ratings by developing initiatives focused on enhancing service quality and responsiveness.

Associate Regional Director/Advocacy and Supervision

Cambridge Investment Research Inc
05.2011 - 02.2013
  • Assisted Regional Directors with enforcement of firms written supervisory procedures
  • Assisted Regional Directors with ensuring supervision and compliance-related responsibilities of OSJ supervisors and their designees were being conducted appropriately and satisfied per firm and regulatory supervisory policies
  • Responsible for assisting Regional Directors with advocacy and supervision for 80-100 enterprise groups across a region of 5 states
  • Responsible for being a key point of contact on various high-level needs of the firm’s financial advisors, and ensuring clear communication was provided to respective stakeholders across the firm

Registered Principal/Direct Account Services

Cambridge Investment Research Inc
02.2010 - 05.2011
  • Conducted suitability review of Direct Business transactions involving variable annuities, alternative investments, mutual funds, and fixed income securities
  • Reviewed and approved trade blotters
  • Notified advisors when a transaction conflicts with a client’s investment profile
  • Documented and tracked all advisor responses to trade inquiries
  • Discussed regulatory rules and company policies with advisors
  • Analyzed the suitability requirements for specific client transactions and reviewed them with advisors
  • Worked closely with Compliance department

Education

Associate of Applied Science -

Brown College
Mendota Heights, Minnesota
01.2005

Associate of Arts -

Indian Hills Community College
Ottumwa, Iowa
01.2003

Skills

  • Client Relationship Management
  • Verbal communication
  • Written communication
  • Interpersonal skills
  • Negotiation skills
  • Organizational skills
  • Attention to detail
  • Time management
  • Analytical skills
  • Problem-solving skills
  • Supervisory skills
  • Leadership skills
  • Research
  • Project management
  • Budget planning
  • Account reconciliation
  • Adaptability
  • Microsoft Office Suite
  • Customer service

Certification

  • FINRA Series 7 General Securities Representative Exam
  • FINRA Series 24 General Securities Principal Qualification Exam
  • NASAA Uniform Combined State Law Examination Series 66 Exam

Areas Of Experience

  • Excellent verbal and written communication skills
  • Excellent interpersonal and negotiation skills
  • Excellent organizational skills and attention to detail
  • Excellent time management skills with a proven ability to prioritize tasks and meet deadlines.
  • Excellent analytical and problem-solving skills
  • Excellent supervisory and leadership skills
  • Proficient in research, project management, budget planning and management & account reconciliation
  • Ability to adapt to the needs of the organization and employees.
  • Proficient in Microsoft Office Suite

Timeline

Sr. Supervisory Principal – Complex Product Supervision

LPL Financial
04.2022 - Current

Loan Officer/Commercial and Consumer Lending

First Iowa State Bank
08.2018 - 02.2021

Senior Director Relationship Management/Business Strategy

Cambridge Investment Research Inc
12.2016 - 08.2018

Regional Director/Advocacy and Supervision

Cambridge Investment Research Inc
02.2013 - 12.2016

Associate Regional Director/Advocacy and Supervision

Cambridge Investment Research Inc
05.2011 - 02.2013

Registered Principal/Direct Account Services

Cambridge Investment Research Inc
02.2010 - 05.2011

Associate of Arts -

Indian Hills Community College

Associate of Applied Science -

Brown College

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