Nicole Ventura
Bettendorf,IA
Summary
Highly motivated and professional Finance Supervision expert with 20 years’ experience providing regulatory guidance and counsel as well as exceptional service to high net worth clients, business owners, financial advisors and branch managers. Series 7, 66, 9, 10 licensed.
Comprehensive knowledge of investment industry policies and procedures. Fantastic critical thinker with great memory and efficiently organize vast amounts of data. Dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach.
Overview
22
22
years of professional experience
1
1
Certificate
Work History
Senior Advisor, Supervision
Raymond James & Assoc
01.2020 - Current
- Conducted independent Supervision reviews and monitored trading activities through the use of various reports and systems. Adjusted existing programs, policies and procedures to increase efficiency.
- Proactively ensured compliance with applicable industry rules and with firm policies and procedures.
- Managed client institutional account onboarding and termination process, including review and approval of business held with outside record keepers.
- Worked collaboratively with Compliance, Supervision, Legal, and business units to address supervision concerns in professional manner
- Served as primary educational resource for financial advisors with investment monitoring reporting and investment policy statement concepts.
- Served as primary educational resource for financial advisors with state law and local ordinance inquiries for municipal clients.
- Conducted supervision reviews to ensure contractual obligations are met for clients such as endowments / foundations, corporations, municipalities, and retirement plans.
- Prepared and delivered written and oral presentations to business units.
- Monitored sales practice activities of branch managers and Financial Advisors through the use of various reports and systems
- Supervised branch offices trade activity and client accounts to ensure client suitability
- Provided counsel from regulatory perspective to branch managers and financial advisors
Senior Registered Sales Associate
Raymond James & Assoc
Houston, TX
01.2008 - 01.2020
- In conjunction with Branch Manager conducted ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintained branch associate files.
- Coordinated registrations, continuing education, licensing, etc. of branch personnel.
- Oversaw ordering of supplies, purchase orders and postage usage.
- Assisted Financial Advisors with marketing efforts including seminars, 401k participant education meetings and 401K plan implementation, etc.
- Performed administrative duties that supported Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings, prepare travel & expense reports, and file & calendar maintenance.
- Onboarded and maintained client accounts, including collecting client information and required documentation, capturing and assessing risk, processing money movement transactions and handling estate needs.
Registered Sales Associate
LPL
Houston, TX
09.2007 - 11.2011
- Processed and followed up on client documentation for proper maintenance on variety of accounts and investments including offshore trusts, alternative placements, annuities and institutional accounts.
- Resolved client inquiries and concerns acting as client advocate
- Provided associate and Financial Advisor Training hands-on financial planning software. Utilized financial software to create reports and present to clients.
- Maintained diverse knowledge of company's financial products, policies, and procedures, and developed strong client services.
Licensed Personal Banker
Wells Fargo
Houston, TX
01.2001 - 09.2007
- Increased daily sales by 14% by upselling banking products and financial services to customers.
- Processed customer requests for statements, ordering additional checks, and updating customer personal information in database.
- Maintained in-depth product and service knowledge for well-informed customer advice.
- Adapted products and services to suit customers' changing financial circumstances.
- Analyzed customers' financial information to deliver personalized account guidance.
Education
B.A. - Finance
University of Houston
Houston, TX12.2013
Skills
- Supervision and Compliance
- Interpersonal
- Communication
- Proactive Supervisory Management
- Organization and Attention to Detail
- Motivated Self-Starter
- Extensive Knowledge of Industry Regulations
- Account Audits
- Portfolio Assessment
- Analytical
Accomplishments
- Uncovered compliance issue that led to firm-wide policy change
- Recommended for various advisory boards
- Appointed as liaison for implementation of policies between branch and back office
Languages
Spanish
Professional Working
Certification
- FINRA Licenses - Series 7, 66, 9 & 10
- Insurance License lapsed. Able to reattain if needed.
Timeline
Senior Advisor, Supervision
Raymond James & Assoc
01.2020 - Current
Senior Registered Sales Associate
Raymond James & Assoc
01.2008 - 01.2020
Registered Sales Associate
LPL
09.2007 - 11.2011
Licensed Personal Banker
Wells Fargo
01.2001 - 09.2007
B.A. - Finance
University of Houston
- FINRA Licenses - Series 7, 66, 9 & 10
- Insurance License lapsed. Able to reattain if needed.
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