Karin Johnson
Broomfield,CO
Summary
Dedicated Financial professional with a history of meeting company goals utilizing consistent and organized practices. Skilled in working under pressure and adapting to new situations and challenges to best enhance the organizational brand.
Overview
36
36
years of professional experience
Work History
Market Supervisory Officer, Director
UBS Financial Services Inc
10.2014 - 08.2022
- Executed annual audits on Effective and Satisfactory ratings each year.
- Day to Day running of the Market (8 branch offices).
- Supervised 120 Financial Advisors
- Answered questions from Financial Advisors, Team Associates, clients and other Management Team members on a daily basis.
- Filed, responded to and resolved complaints from employees and clients.
Control Risk Analyst, Associate Director
UBS Financial Services, Inc.
01.2013 - 10.2014
- Executed annual audits on Effective and Satisfactory ratings each year.
- Day to Day running of the Market (8 branch offices).
- Supervised 120 Financial Advisors
- Answered questions from Financial Advisors, Team Associates, clients and other Management Team members on a daily basis.
- Filed, responded to and resolved complaints from employees and clients.
Operations Manager, Associate Director
UBS Financial Services, Inc.
03.2007 - 01.2013
- Executed annual audits on Effective and Satisfactory ratings each year.
- Day to Day running of the Market (8 branch offices).
- Supervised 120 Financial Advisors
- Answered questions from Financial Advisors, Team Associates, clients and other Management Team members on a daily basis.
- Filed, responded to and resolved complaints from employees and clients.
- Led a team of 2 operations employees
Operations Manager, Assistant Vice President
Merrill Lynch
12.1986 - 02.2007
- Executed annual audits on Effective and Satisfactory ratings each year.
- Day to Day running of the offices.
- Answered questions from Financial Advisors, Team Associates, clients and other Management Team members on a daily basis.
Education
Associate of Science - Business
Elgin Community College
Elgin, IL12.1984
Skills
- Financial Services
- Series 7, 9, 10, 63 & 65 registered
- Insurance Licensed
- Risk Management Assessments
Timeline
Market Supervisory Officer, Director
UBS Financial Services Inc
10.2014 - 08.2022
Control Risk Analyst, Associate Director
UBS Financial Services, Inc.
01.2013 - 10.2014
Operations Manager, Associate Director
UBS Financial Services, Inc.
03.2007 - 01.2013
Operations Manager, Assistant Vice President
Merrill Lynch
12.1986 - 02.2007
Associate of Science - Business
Elgin Community College
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