Leona Barber
Chelsea,MA
Summary
Seasoned compliance coordinator with several years of experience in the Finance industry. Excellent research and analytical skills, as well as comprehensive knowledge of relevant statutory and regulatory guidelines.
Overview
11
11
years of professional experience
Work History
Agency Licensing and Compliance Coordinator
Commonwealth Financial Group
09.2020 - Current
- Independently onboard all agency staff, advisors and advisor assistants
- Collaborate with our onboarding team regarding all candidates while managing the disclosure process
- Maintain and coordinate with candidates to receive all required documentation
- Coordinate all aspects of securities and insurance licensing for 150 advisors and 80 staff members
- Maintain appropriate records for licensed advisors and registered locations
- Oversee audited items and partake in the success of annual audits
- Analyze and research trends/trending issues to ensure advisors/staff remain compliant
- Prepare and analyze annual interview and inspection documentation for each registered person
- Adapt to constantly changing regulations from FINRA and states regarding licensing
- Maintain timely and effective communication via email and phone with all advisors/staff
- Oversee agent and staff to see they adhere to compliance guidelines, laws and regulations.
- Assist Director of Agency Supervision with general administrative tasks
Workplace Planning Consultant 1
Fidelity Investments
05.2019 - 07.2020
- Helping our participants achieve better financial outcomes by engaging in consultative conversations about their workplace 401(k) plans and retail account options over the phone
- Provide planning and advice on a wide range of topics, including 401(k) plan enrollments, distribution options, account consolidation options, investment strategies, and retirement readiness
- Learn book management skills and effectively managing leads through lead utilization
- Set up targeted appointments to address client needs related to products and services
- Licenses obtained - SIE, Series 7 and Series 66
Graduate Assistant
Vesela Veleva, MBA program director, University of Massachusetts Boston
10.2018 - 06.2019
- Research based project- Work with the MBA program director on a UMB Public Service Grant
- Published Food For Free: From Food Waste to Healthy Meals
- This project will raise awareness about the environmental, social and business benefits of the circular economy, a new economic paradigm based on zero waste, product reuse and remanufacturing
- Through research, case studies, class projects, and panel presentations, the project will help create cross-market links and build entrepreneurs at UMass Boston and throughout the region.
Store Manager
Foot Locker
12.2018 - 05.2019
- Coach and motivate my team to inspire top performance and an exceptional customer experience
- Execute standards in recruiting, hiring, training, guest services, visual merchandising, and store operations
- Execute plans to drive key performance indicators to maximize profitability
- Act as a partner between customers, sales associates, store leadership and corporate business partners
- Maintain a high level of customer focus and lead by example with clear and engaging communication
- Ensures visual directives and standards are maintained.
Store Manager/eCommerce Manager/Assistant Buyer
Foot Paths
12.2012 - 12.2018
- Maintain and manage an independent business and its employees
- I regularly supervised a team of 10 to 20 employees while ensuring the regular function of the store
- Act as the Human Resources for the company
- I supervise and take part in hiring, firing, disciplinary action, time off, benefits, promotions and etc
- Schedule and manage the calendar for the store and employees
- I am responsible for scheduling events and meetings with our vendors while also creating week to week schedules
- Create all marketing for the store
- Hand pick and design posters and signs while assigning promotions and promotional pricing for merchandise
- In direct charge of all merchandise in the store such as ordering merchandise, pricing merchandise, creating SKUs, merchandising the storefront and windows to create effective and appealing displays
- Analyze history of sales and budget, forecasts future buys
- Maintain and organize stock and inventory in store and on online storefronts (amazon/ebay)
- Created the store's website - www.footpathsshoes.com
Education
Masters of Business Administration -
University of Massachusetts Boston
12.2020
Bachelors of Science in Business Management -
University of Massachusetts Boston
01.2017
Skills
- Operations Management
- Administrative Oversight
- Correspondence and Reports
- Autonomous and Self-Directed
- Project Coordination
- Scheduling and Calendar Management
- Project Assistance
- Customer Service
Licenses
- Series 7
- Series 66
Volunteer Experience
Big Brother Big Sister of Mass Bay, 06/2015, 10/2022, I volunteered as a Big Sister with Big Brother Big Sister of Mass Bay. I have a little sister who has become a huge part of my life. Being a mentor helps fulfill my desires of changing people's lives with positivity and leadership. Not only do I volunteer to leave an impression on her life, but her influence on my life is something I learn from each and every day.
Timeline
Agency Licensing and Compliance Coordinator
Commonwealth Financial Group
09.2020 - Current
Workplace Planning Consultant 1
Fidelity Investments
05.2019 - 07.2020
Store Manager
Foot Locker
12.2018 - 05.2019
Graduate Assistant
Vesela Veleva, MBA program director, University of Massachusetts Boston
10.2018 - 06.2019
Store Manager/eCommerce Manager/Assistant Buyer
Foot Paths
12.2012 - 12.2018
Masters of Business Administration -
University of Massachusetts Boston
Bachelors of Science in Business Management -
University of Massachusetts Boston
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