Summary
Overview
Work History
Education
Skills
Certification
Timeline
background-images
Sean House

Sean House

Houston,TX

Summary

Results-driven financial services professional with 8+ years of experience spanning client onboarding, risk analysis, and operations within premier institutions like Goldman Sachs, Charles Schwab, and TD Ameritrade. Proven ability to lead discovery sessions, translate business needs into technical solutions, and deliver tailored recommendations that align with risk mitigation strategies. Adept at cross-functional collaboration and customer relationship management, with a growing focus on fraud detection and compliance. Series 7, 63, 9, 10, and 4 certified.

Overview

8
8
years of professional experience
1
1
Certification

Work History

Client Risk Manager

Goldman Sachs
Houston, TX
07.2021 - Current
  • Evaluate and approve client accounts with an average portfolio of $50MM, ensuring compliance with internal risk and legal standards.
  • Partner with asset management, compliance, and legal teams to optimize onboarding experience and ensure technical and regulatory requirements are met.
  • Support client-facing teams by streamlining account setup processes, enhancing service quality, and aligning risk tolerance with operational frameworks.

RIA Conversion Consultant

Charles Schwab
Westlake, TX
11.2020 - 07.2021
  • Led full-cycle conversions for advisory firms onboarding to Schwab’s platform, including training, technical scoping, and operational readiness.
  • Conducted 1x1 advisor enablement sessions to ensure seamless transitions and full utilization of Schwab’s digital ecosystem.
  • Partnered cross-functionally to mitigate risk factors in data migrations and enforce best practices around compliance and security.

Estates Relationship Specialist

Charles Schwab
Westlake, TX
03.2019 - 11.2020
  • Acted as primary liaison for estate clients navigating account transitions, ensuring alignment with legal and compliance standards.
  • Managed on average 75-100 concurrent cases, regularly collaborating with client attorneys, advisors, and internal stakeholders to ensure proper distribution of assets.
  • Focused on accuracy, sensitivity, and trust in communications—vital traits when handling high-stakes, compliance-heavy workflows.

Equity & Derivative Trader

TD Ameritrade
Saint Louis, MO
05.2017 - 03.2019
  • Supported clients in executing complex trading strategies and provided consultative guidance on investment products.
  • Managed approximately 30-40 client calls daily regarding their portfolio, interested strategies, & movement of assets.
  • Liaised with senior leadership to recommend process improvements aimed at operational continuity and fraud prevention in trade execution.

Education

B.S. - Finance (General)

Louisiana State University
Baton Rouge, LA
12.2015

Skills

  • Client Onboarding
  • Risk & Compliance
  • Financial Crime Prevention
  • Business Analytics
  • Cross-functional Leadership
  • Technical Discovery
  • Salesforce
  • Microsoft Office
  • Relationship Management
  • Capital Markets
  • Regulatory Adherence
  • Internal controls
  • Cross-functional collaboration
  • Operational risk management
  • Enterprise risk management
  • Risk mitigation strategies

Certification

  • Series 7 – General Securities Representative
  • Series 63 – Uniform Securities Agent
  • Series 9 & 10 – General Securities Sales Supervisor
  • Series 4 – Registered Options Principal

Timeline

Client Risk Manager

Goldman Sachs
07.2021 - Current

RIA Conversion Consultant

Charles Schwab
11.2020 - 07.2021

Estates Relationship Specialist

Charles Schwab
03.2019 - 11.2020

Equity & Derivative Trader

TD Ameritrade
05.2017 - 03.2019

B.S. - Finance (General)

Louisiana State University

Similar Profiles

CREATE PROFILE