Summary
Overview
Work History
Education
Skills
Certification
OfficeManager
Kristy Warmerdam

Kristy Warmerdam

Manchester,NH

Summary

A critical thinker and problem solver with essential skills for effectively monitoring and enforcing compliance standards. Possessing a solid understanding of regulatory frameworks and risk management principles, well-equipped to navigate complex industry requirements. Extensive background in financial operations, administration, and sales further enhances ability to contribute to organizational success. Additional work history can be found on my LinkedIn profile: www.linkedin.com/in/kristy-warmerdam-2a7770190.

Overview

12
12
years of professional experience
6
6

Certifications

Work History

Director of Supervision

Northwestern Mutual
02.2022 - Current
  • Leads successful regulatory audits and examinations of financial representatives and registered branch offices throughout New Hampshire, Maine, Vermont, and Northern Massachusetts.
  • Proactively identifies potential risks and implementes mitigation strategies to minimize negative impacts on business operations and culture.
  • Monitors organizational performance to identify areas for improvement and implement solutions.
  • Directs strategic initiatives to align organizational goals with long-term objectives.
  • Develops high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
  • Navigating company through periods of significant change, maintaining focus on long-term strategic goals.
  • Develops customized training programs to educate employees on essential compliance topics, promoting ethical behavior across the organization.

Independent Financial Advisor

Gateway Financial Partners/LPL; Hilltop Securities Independent Network Inc.
05.2013 - 02.2022
  • Collaborated with other professionals, such as attorneys and accountants, to create holistic financial strategies for clients.
  • Achieved high client retention rates by consistently delivering outstanding service and proactive communication.
  • Maintained up-to-date knowledge of regulatory changes and industry best practices to ensure full compliance with all applicable laws and ethical standards.
  • Educated clients on various financial matters and provided professional recommendations on investment opportunities, products and services based on individual needs.

Education

Bachelor of Arts - Radio/TV/Film

University of Louisiana At Monroe
Monroe, LA
01.1993

Skills

  • Regulatory Compliance and Supervision
  • Team Leadership
  • Strategic planning
  • Risk management

Certification

  • Series 9/10 – General Securities Sales Supervisor (2013)
  • Series 7 – General Securities Representative (2010)
  • Series 66 – Uniform Combined State Law Exam (2010)
  • SIE – Securities Industry Essentials Exam (2018)
  • Life, Accident, Health Insurance: Annuities; Long Term Care; Disability

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Kristy Warmerdam