SANDRA FILM
Bay Village
Summary
Dynamic Senior Regional Supervisor with extensive experience at Huntington Financial, excelling in compliance monitoring and performance management. Proven track record in resolving operational issues and enhancing team productivity. Adept at risk assessment and fostering collaboration, driving adherence to company standards while coaching teams to achieve excellence in sales practices.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Senior Regional Supervisor
Huntington Financial
02.2024 - Current
- Oversaw a team across Mahoney Valley County in Ohio, Pennsylvania, and West Virginia.
- Monitored compliance with company policies to ensure operational integrity.
- Conducted on-site supervision through frequent travel to various locations.
- Implemented coaching and training programs to elevate team performance.
- Resolved operational issues within the designated region to maintain efficiency.
- Collaborated with upper management to align regional objectives with corporate goals.
- Performed regular assessments to ensure adherence to company standards.
Regional Supervisory Officer
PNC Investments
09.2022 - 02.2024
- The Regional Supervisory Officer (RSO) reports into Oversaw operations for PNC Investments, a broker-dealer subsidiary of PNC Bank.
- The RSO also monitors advisors for adherence to company policies and acts as the regional escalation point in the review of new business.
- Collaborated with Compliance, Central Review Desk, and Regional Sales Managers to identify and address suspicious patterns in sales and business practices.
- Coached and trained financial advisors on proper sales practices, while disseminating updates on firm policy, procedures, and regulatory changes.
- PNC Investments, which is a broker-dealer subsidiary of PNC Bank.
Central Review Desk Principal - Officer
PNC Investments
03.2008 - 09.2022
- Reviewed and approved retail investment brokerage new accounts and daily trade activity to ensure compliance and mitigate risk.
- Collaborated with regional supervisors to uphold PNCI regulations for Series 7 representatives, enhancing overall compliance standards.
- Evaluated and approved annuity and life insurance applications, ensuring alignment with regulatory requirements and client needs.
- Acted as the primary authority for daily review activities, conducting thorough evaluations.
- Assessed daily activities to mitigate risks for both the firm and clients.
- Maintained comprehensive knowledge of industry regulations and firm policies.
- Participated in continuing education to stay updated on regulatory guidelines affecting brokerage operations.
Education
Bachelor Degree - Business Administration
Baldwin Wallace
Berea, OHSkills
- Sales team management
- Performance management
- Compliance monitoring
- Regulatory compliance
- Risk assessment
- Issue resolution
- Team collaboration
Certification
- FINRA License: Series 7, 66, 24 & 53
- Ohio Accident & Health, Life Insurance License
Timeline
Senior Regional Supervisor
Huntington Financial
02.2024 - Current
Regional Supervisory Officer
PNC Investments
09.2022 - 02.2024
Central Review Desk Principal - Officer
PNC Investments
03.2008 - 09.2022
Bachelor Degree - Business Administration
Baldwin Wallace