Shannon Arndt
Newport,MI
Summary
Results-driven professional with 11 years of experience, advancing from entry-level positions to the Executive team. Known for exceptional problem-solving skills and proficiency in Excel, particularly with pivot tables. Thrives in data-rich environments and collaborative settings, committed to continuous growth and mentoring others. Ready to contribute effectively from day one after a purposeful career break.
Overview
11
11
years of professional experience
3
3
Finra Licenses
Work History
Chief Operations Officer
Concorde Investment Services
Ann Arbor, Michigan
05.2024 - 10.2024
- Collaborated with senior leadership to align business goals and objectives.
- Negotiated contracts to secure extensions and preserve optimal leadership.
- Hired, trained, evaluated and retained high-performing, effective and diverse team embodying organizational culture.
- Increased customer satisfaction and streamlined business processes and procedures.
- Fostered proactive attitude and future-focused thinking among staff in fast-paced environment.
- Served as an escalation point for customers who had unresolved issues or complaints about products or services provided by the organization.
- Analyzed operational data to measure performance against key metrics and identify areas for improvement.
- Established plans to address productivity, operational performance and staff retention and satisfaction.
- Oversaw daily operations across multiple departments, ensuring alignment with strategic objectives.
Operations Manager
Concorde Investment Services
Ann Arbor, Michigan
12.2020 - 05.2024
- Executed an innovative program enhancing client support, resulting in a 300% team expansion.
- Managed team performance and provided ongoing training for staff development.
- Analyzed operational data to identify areas for improvement.
- Led regular meetings to discuss operational challenges and develop strategic solutions.
- Built strong operational teams to meet process and production demands.
- Crafted and instituted standard operational procedures to uphold consistency.
- Responded to information requests from superiors, providing specific documentation.
AML/Compliance Principal
Concorde Investment Services
Ann Arbor, Michigan
10.2017 - 12.2020
- Conducted thorough reviews of customer transactions for suspicious activity
- Assisted in developing and implementing AML compliance policies and procedures
- Monitored regulatory developments related to anti-money laundering practices
- Collaborated with internal teams to ensure compliance with AML regulations
- Analyzed OFAC and FINCEN matches
- Prepared and delivered detailed SARS report for firm.
Compliance Analyst
Concorde Investment Services
Ann Arbor, Michigan
09.2013 - 09.2017
- Collaborated with cross-functional teams to address compliance issues effectively.
- Monitored industry trends to maintain up-to-date knowledge of regulations.
- Compiled documents for submission to regulatory agencies in compliance with legal requirements.
- Performed periodic reviews of existing processes and procedures to identify areas of improvement in terms of compliance standards.
- Completed in-depth reviews of audit reports, client actions and monitoring activities.
- Investigated any suspected violations of the organization's compliance policies.
- Led training sessions for staff on compliance practices and regulatory requirements.
Education
Bachelor of Science - Fashion Merchandising, Marketing
Eastern Michigan University
Ypsilanti, MichiganSkills
- Microsoft Office Suite
- Project coordination
- Cost management
- Conflict resolution
- Collaboration and teamwork
- Workforce planning
- Employee engagement
- Team Training
- Delegation
- Workflow optimization
- Compliance audits
- Effective communication
- Analytical solutions
- Regulatory compliance
- Human resources
- AML procedures
- Documentation review
- Team leadership
- Client relationship management
- Change management
- Process optimization
- Data analysis
Certification
- FINRA Series 7, 24 and 66
References
References available upon request.
Communication
- Executive-Level Communication: Skilled in presenting complex operational insights to senior leadership and stakeholders with clarity and impact.
- Cross-Functional Collaboration: Proven ability to align diverse teams—compliance, technology, operations—toward shared goals.
Leadership
- Executive Team Leadership: Served as Chief Operations Officer, guiding cross-departmental strategy and execution across technology, compliance, transitions, and billing.
- Team Development: Built and scaled high-performing teams through targeted hiring, coaching, and performance management.
- Program Creation & Expansion: Launched and grew the Concorde Virtual Assistant Program, tripling team size and enhancing adviser support.
- Change Management: Successfully led during transitional periods, balancing dual leadership roles and maintaining operational continuity.
- Process & Policy Leadership: Authored and updated SOPs and compliance documentation, aligning operations with evolving regulations.
- Mentorship & Growth: Passionate about developing talent—creating opportunities for learning, advancement, and cross-training.
- Strategic Vision: Translated organizational goals into actionable plans, driving efficiency, scalability, and innovation.
Timeline
Chief Operations Officer
Concorde Investment Services
05.2024 - 10.2024
Operations Manager
Concorde Investment Services
12.2020 - 05.2024
AML/Compliance Principal
Concorde Investment Services
10.2017 - 12.2020
Compliance Analyst
Concorde Investment Services
09.2013 - 09.2017
Bachelor of Science - Fashion Merchandising, Marketing
Eastern Michigan University