Natalie Sutcliffe
Summary
Licensed financial services professional with over 10 years of experience in wealth management, client support, and compliance. Proven ability to assist financial advisors, support operational functions, resolve service and technology issues, and ensure adherence to FINRA regulations. Skilled in onboarding, training, and contributing to process improvements.
Overview
13
13
years of professional experience
Work History
Registered Client Service Associate
Wells Fargo Advisors
05.2024 - Current
- Delivered informative presentations to clients regarding financial products, increasing understanding and fostering strong relationships.
- Ensured compliance with industry regulations, maintaining up-to-date knowledge of rules and guidelines related to client accounts.
- Supported financial advisors with preparing documentation, contributing to the successful onboarding of new clients.
- Completed financial goal analysis for clients to illustrate historical portfolio performance.
- Improved productivity by creating organizational systems for files and records management within the department.
- Participated in ongoing professional development opportunities such as workshops or conferences to stay abreast of industry developments while continually improving skills set.
Senior Registered Client Associate
UBS Financial Services
08.2023 - 05.2024
- Developed personal rapport with each client to maintain customer loyalty and establish long-term accounts.
- Facilitated new client onboarding process and investment account setup.
- Assisted clients with preparing financial plans, conducting investment research, and completing trades and transactions to assess and meet financial goals.
- Trained and mentored client associates, sharing best practices and firms protocols.
- Acted as a liaison between financial advisors, compliance team and back-office support.
Mortgage Loan Officer
Key Bank
02.2023 - 08.2023
- Originated first mortgage loans (Conventional, FHA, VA, Jumbo, & Physician)
- Facilitated real estate loan seminars and sales meetings.
- Was a member of the Key for Women networking group.
- Implements sales strategies which build relationships with realtor partners and CIOs.
Mortgage Manager
Civista Bank
07.2021 - 02.2023
- Promoted the bank's products and its lending services to potential prospects and current customers.
- Developed mentorship program to leverage strengths of tenured employees with new employees.
- Implemented a winning strategy based on customers' surveys which increased sales within 120 days by 30%.
- Collaborated with vendors regularly to improve efficiency of systems.
- Managed a team of mortgage professionals, ensuring high-quality customer service and timely loan closings.
Senior Fund and Compliance Analyst
Victory Capital Management Inc
01.2014 - 07.2021
- Lead multiple projects from inception to completion including a project that led to a 75% improvement in quality.
- Facilitated daily mutual fund compliance testing, reporting, and record maintenance.
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Completed initial and ongoing dealer agreements and contracts.
- Trained and mentored new analyst.
- Collaborated with cross-functional teams for the successful implementation of new compliance initiatives.
- Served as a subject matter expert on compliance matters, providing guidance and support to colleagues across various departments.
Senior Registered Client Associate
UBS Financial Services
01.2012 - 01.2014
- Drove enhanced client experience providing operational and sales support to 4 Financial Advisors
- Collaborated with current and prospective clients to develop their needs, resolve their concerns, and provide exceptional ongoing sales and service support
- Assisted clients with preparing financial plans, conducting investment research and completing trades and transactions to assess and meet financial goals.
- Prepared for and coordinated marketing events, created marketing compliance documentation and managed event marketing reimbursement to increase customer base and grow revenue.
- Trained new personnel regarding company operations, policies and services.
Education
BBA - Business Administration And Management
Cleveland State University
Cleveland05.2006
Skills
- Project Management
- Analytical and criitical thinking
- Financial Analysis
- FINRA Rules
- Compliance monitoring
- Time management
- Empathy and patience
- Organizational proficiency
- Team collaboration
- Staff training and development
Additional Information
- FINRA - Series SIE, 7, 63, & 65
- Ohio Life, Health, Accident & Variable Insurance
Timeline
Registered Client Service Associate
Wells Fargo Advisors
05.2024 - Current
Senior Registered Client Associate
UBS Financial Services
08.2023 - 05.2024
Mortgage Loan Officer
Key Bank
02.2023 - 08.2023
Mortgage Manager
Civista Bank
07.2021 - 02.2023
Senior Fund and Compliance Analyst
Victory Capital Management Inc
01.2014 - 07.2021
Senior Registered Client Associate
UBS Financial Services
01.2012 - 01.2014
BBA - Business Administration And Management
Cleveland State University
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