Drew Iafrate
Dallas,TX
Summary
Extensive background in the securities/financial industry with a deep understanding of regulatory compliance in progressively responsible roles. Insightful manager with experience directing and improving operations through effective employee motivational strategies and strong policy enforcement. Proficient in best practices, market trends, and regulatory requirements of industry operations.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Manager, Brokerage Service Rep
Charles Schwab & Co
11.2021 - Current
- Conduct thorough and effective investigations of supervised professionals to discover inconsistencies with FINRA rules and securities laws.
- Created training materials and provided feedback and coaching ensuring employees were complying with all industry requirements and regulations.
- Collaborated across departments to enhance organizational capabilities and achieve department-wide and corporate goals.
- Oversaw daily operations, offering guidance and mentorship to team members to optimize their performance.
- Consistently met and exceeded established timeframes while accomplishing multiple tasks.
- Facilitated seamless onboarding of new team members through comprehensive training and documentation.
- Resolved staff conflicts by actively listening to concerns and facilitating mutually beneficial solutions.
- Effectively communicated employee performance feedback and training requirements to decision-makers.
Sr Client Relationship Specialist
Charles Schwab & Co., Inc
06.2020 - 11.2021
- Delivered exceptional customer service to every customer by leveraging extensive knowledge of products and services and creating world-class service experiences.
- Conducted supervisory reviews of managed account openings and suitability requirements, including spot-checks for improper trade activity.
- Resolved service problems by clarifying customer complaints, identifying root causes and developing catered solutions.
- Liaised with sales, marketing and management teams to develop solutions and accomplish shared objectives.
- Coordinated with project leaders to resolve issues and improve client service delivery.
Wealth Management Service Representative
USAA Investment Management
03.2019 - 06.2020
- Utilized research and reports to support Wealth Managers in their effort to maintain and deepen relationships with high net worth clients.
- Examined and assessed economic and market trends, earnings data, financial statements, risk, and performance statistics in order to help high net worth customers understand and execute their options.
- Opened and funded managed and non-managed accounts, and placed trades for model changes of managed accounts.
- Surpassed performance goals by approaching interactions with resourcefulness, organization and customer-centric solutions.
SMS Representative I
USAA Investment Management
05.2016 - 03.2019
- Researched, compiled, and analyzed data, graphs, and reports to support financial advisors in their sales and service efforts.
- Examined and assessed economic and market trends, earnings data, financial statements, risk, and performance statistics in order to help retail customers understand their options by translating complex concepts into plain English.
- Assisted in training new hires for the service position and assisted in updating and modernizing the in-house job aide to accurately reflect procedures after brokerage conversion.
- Researched relevant resources to assist members, identified member representation needs and troubleshot next steps to provide optimal support for member.
SMS Representative II
USAA Investment Management
05.2015 - 05.2016
- Executed purchases and sales of options, stocks, bonds, and ETFs on behalf of retail investors and managed accounts.
- Developed a strong grasp of asset classes across a wide variety of securities and developed ability to thrive in a high pressure, fast-paced environment.
- Assisted with financial analysis, forecasting, and risk assessment.
SMS Representative III
USAA Investment Management
05.2014 - 05.2015
- Responded to customer calls and emails to perform transactions and answer questions about products and services.
- Maintained customer satisfaction with forward-thinking strategies focused on addressing customer needs and resolving concerns.
- Surpassed performance goals by approaching interactions with resourcefulness, organization and customer-centric solutions.
- Assisted with redeveloping a “plug and play” complex reallocation tool.
Analyst
Lloyds of London
06.2012 - 05.2014
- Recommended process improvements to continually identify, analyze and fix constraints and challenges.
- Queried databases for information needed for report processing.
- Assessed data modeling and statistics to integrate high-level business processes with data rules.
Education
Bachelor of Science - Economics
Tarleton State University
Stephenville, TX05.2012
Skills
- Investigative Proficiency
- Leadership and Supervision
- Collaboration
- Quality Assurance
- Process Improvement
- Communication and Presentation
- Risk Monitoring
- Conflict Resolution
Certification
FINRA Licenses: Series 7, 63, 66, 9/10
Timeline
Manager, Brokerage Service Rep
Charles Schwab & Co
11.2021 - Current
Sr Client Relationship Specialist
Charles Schwab & Co., Inc
06.2020 - 11.2021
Wealth Management Service Representative
USAA Investment Management
03.2019 - 06.2020
SMS Representative I
USAA Investment Management
05.2016 - 03.2019
SMS Representative II
USAA Investment Management
05.2015 - 05.2016
SMS Representative III
USAA Investment Management
05.2014 - 05.2015
Analyst
Lloyds of London
06.2012 - 05.2014
Bachelor of Science - Economics
Tarleton State University