Penne Sawyer
Grimes,IA
Summary
I have over 12 years of experience in the Ticketing Office of the Iowa Event Center. The last three years, I have been the supervisor of 13 cashiers. Sharing my knowledge with others in the training and documentation of the ticketing processes. To assist customers in purchasing tickets for events held at multiple venues, both in person and over the phone. Resolving issues with the purchase process, including reissuing, online ticketing system transfers, exchanges, and customer concerns, while guiding guests with event and venue information and directions.
I have over 44 years of experience in the Investment Industry. I have strong analytical and problem- solving skills. I am a motivated self-starter with the ability to learn new responsibilities quickly. I communicate with all levels of the workforce and strive to support all clients' needs.
Overview
28
28
years of professional experience
Work History
Ticket Office Supervisor
Iowa Events Center
Des Moines, IA
03.2023 - Current
- Prepared reports outlining daily ticket sales activity for management review.
- Monitored incoming calls and responded to customer inquiries in a professional manner.
- Maintained accurate records of all transactions including sales, exchanges and refunds.
- Resolved customer complaints promptly and escalated issues when necessary.
- Updated system databases with new events or changes in existing events.
- Greeted customers and answered questions regarding ticket availability, pricing and seating arrangements.
- Processed refunds for returned tickets in a timely manner.
- Attended weekly staff meetings to discuss current issues affecting the department.
- Assisted with recruitment processes including interviewing potential candidates.
- Coordinated employee training programs related to productivity improvement initiatives.
- Supervised, trained and mentored staff members in the use of office equipment and procedures.
- Handled scheduling and managed timely and effective allocation of resources and calendars across all venues within the complex.
- Provided leadership, insight and mentoring to newly hired employees to supply knowledge of various company programs.
Field Supervisor
Principal Securities Inc
Des Moines, IA
03.2022 - 03.2023
- Review Home Office financial professionals request of new business applications. Making sure to meet all regulatory and compliance rules put in place by DOL, FINRA and SEC.
- Working with Financial professionals to resolve any issues to meet the needs of the customer, with in regulatory guidelines.
- Resolve all escalated requests, determine the best resolution to meet the customers and PSI needs. Communicate resolution with all parties involved.
- Liaison between PSI and Principal Mutual Funds to ensure the processing needs are meet.
- Assigned work to field employees, based on material or work requirements for specific jobs.
- Established and enforced procedures and work standards, promoting team performance and safety.
- Kept detailed progress records to hit strict deadlines and adjust plans.
- Delegated duties to employees based on skillset.
- Trained and monitored employees to teach daily tasks and improve performance.
- Provided leadership, insight and mentoring to newly hired employees to supply knowledge of various company programs.
- Monitored timelines, set up order of operations and managed field schedules.
- Analyzed worker or production problems and recommended solutions for improving procedures or implementing motivational plans.
Business Practice Analyst
Principal Financial Group – Principal Securities Inc
02.2017 - 03.2022
- Review and analyze Principal Connection and PAN representatives’ clients personal and financial information on new business applications, making sure they follow DOL, FINRA and SEC compliance and suitability standards
- I review an average of 85-90 cases each day
- My current standard level of achievement is the same day
- Investigate escalated customer concerns, to determine a resolution and communicate resolution with all parties involved
- Monitor and research compliance alerts based on the prior day client activities
- Working with representatives and clients to make sure all trades and activity is accurate
- Various project to ensure compliance information for each client is accurate and up to date.
- Implemented strategies to support customer service delivery.
- Delivered hands-on training for new system development.
- Developed positive relationships with external customers.
Senior Regulatory & Quality Specialist -, Principal
Principal Financial Group
01.2015 - 01.2017
- Securities
- Review and analyze clients personal and financial information on new business applications, making sure they follow DOL, FINRA and SEC compliance and suitability standards
- I reviewed an average of 50-60 cases each day
- My standard level of achievement was 24hrs
- Review Anti Money Laundry reports for activity of concern
- Obtain additional information from representative of the account
- Escalate items to compliance department if needed
- Review all processes of the department process for quality
- Research and find documents, files requested by Compliance for regulatory audits.
Senior Mutual Funds Specialist – Principal
Retirement Plan Operations
01.2008 - 01.2015
- Financial Group, Principal Mutual Funds
Tax Reporting Specialist
Retirement Plan Operations
01.1997 - 01.2008
- Principal Financial Group, Principal Mutual Funds
Education
High School Diploma -
Abraham Lincoln High School
Des Moines IAFINRA SRO Registrations -
FINRA
Skills
- Spreadsheet development
- Report generation
- Data compiling
- Variance Analysis
- Data summaries
- Customer monitoring
- Decision Making
- Business Analysis
- Recommendations for Action
- Business Requirements
- Technical Support
- Process Improvement
- Customer communication
- Product Management
- Project Management
- Staff training and development
- Business Process Improvement
Timeline
Ticket Office Supervisor
Iowa Events Center
03.2023 - Current
Field Supervisor
Principal Securities Inc
03.2022 - 03.2023
Business Practice Analyst
Principal Financial Group – Principal Securities Inc
02.2017 - 03.2022
Senior Regulatory & Quality Specialist -, Principal
Principal Financial Group
01.2015 - 01.2017
Senior Mutual Funds Specialist – Principal
Retirement Plan Operations
01.2008 - 01.2015
Tax Reporting Specialist
Retirement Plan Operations
01.1997 - 01.2008
High School Diploma -
Abraham Lincoln High School
FINRA SRO Registrations -
FINRA
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