Summary
Overview
Work History
Education
Skills
Certification
References
Education and Training
Timeline
Generic

LIAM MUNRO

Albany

Summary

Highly-motivated employee with desire to take on new challenges. Strong worth ethic, adaptability and exceptional interpersonal skills. Adept at working effectively unsupervised and quickly mastering new skills.

Overview

5
5
years of professional experience
1
1
Certification

Work History

Compliance Associate

Purshe Kaplan Sterling
11.2024 - Current
  • Participated in meetings with senior management regarding risk assessment and mitigation strategies.
  • Created reports summarizing findings from investigations into potential violations of regulations or policies.
  • Conducted in person and virtual compliance audits to identify and rectify regulatory discrepancies.
  • Developed comprehensive reports on compliance findings for management review.

Financial Consultant

Hudson Valley Federal Credit Union
08.2024 - 11.2024
  • Conducted detailed financial analysis and research to identify potential areas of improvement for clients.
  • Monitored client accounts daily for changes in value or activity levels.

Senior Financial Sales Representative

New York Life
02.2023 - 07.2024
  • Sought out, cultivated and grew strong relationships with prospects and developed them from leads to clients
  • Increased client satisfaction by providing personalized financial advice and investment strategies

Sr. Financial Services Representative

Teachers Insurance and Annuity Association
01.2021 - 02.2023
  • Collaborated with team members to streamline processes and improve overall client experience
  • Ensured compliance with industry regulations and company policies while serving clients' best interests
  • Mentored junior advisors, sharing knowledge, expertise, and best practices to enhance team performance.
  • Resolved customer complaints in an efficient manner while maintaining excellent customer relations.

Education

Bachelor of Arts - Philosophy

Manhattan College
06-2026

Skills

  • Product Knowledge
  • Attention to Detail
  • Compliance monitoring
  • Retirement needs
  • Mutual Funds
  • Regulations
  • Enhanced due diligence
  • Financial crime prevention

Certification

  • FINRA SIE
  • FINRA Series 6
  • FINRA Series 7
  • FINRA Series 63
  • Life and Health Producer Licenses

References

References available upon request

Education and Training

false,other

Timeline

Compliance Associate

Purshe Kaplan Sterling
11.2024 - Current

Financial Consultant

Hudson Valley Federal Credit Union
08.2024 - 11.2024

Senior Financial Sales Representative

New York Life
02.2023 - 07.2024

Sr. Financial Services Representative

Teachers Insurance and Annuity Association
01.2021 - 02.2023

Bachelor of Arts - Philosophy

Manhattan College

Similar Profiles

CREATE PROFILE