Summary
Overview
Work History
Skills
Custom
Timeline
Generic

Suzanne Cathi Maxwell

Summary

Management position in the financial industry utilizing the experience, talent, organization, leadership and industry knowledge gained to reduce regulatory, financial and reputational risk, streamline work flows, and to increase revenue producers’ effectiveness ultimately increasing revenue.

Worked under the direct supervision of the Director of Capital Markets to develop, monitor, and maintain business, compliance and supervisory processes and practices in a very complex, fast-paced environment. Developed, coordinated and executed administrative system plans to address potential issues, fulfill regulatory obligations and promote best practices for the departments three business units. (Municipal trading and Underwriting, Taxable trading, equities and Sales) Implemented, developed and created processes and procedures arising from new and changing regulations, products, services and technology from a regulatory and systems prospective. Worked closely with control groups such as Compliance, Operations, Middle Office, IT and Audit (internal, external and regulatory) Responded routinely to requests for trade data and information from the firm’s business units, audit units, and regulatory entities. Achieved acceptable audit findings and accurate regulatory responses.

Overview

8
8
years of professional experience

Work History

Office Manager

Matrix Design Group LLC
Flower Mound, TX
01.2023 - Current
  • Monitored inventory levels and placed orders when needed.
  • Processed payroll accurately ensuring all employees were paid on time.
  • Coordinated meetings, conferences, travel arrangements and department activities.
  • Reviewed contracts for accuracy prior to signing off on behalf of the company.
  • Analyzed data from various sources to identify trends and make recommendations for improvement.
  • Performed general bookkeeping duties such as reconciling bank statements and creating journal entries.
  • Tracked invoices and payments to ensure accuracy of accounts receivable and payable information.
  • Ordered supplies and equipment to maintain adequate inventory levels.
  • Provided administrative support to management team including preparing reports and presentations.
  • Assisted in developing budgets for departmental expenses.
  • Created spreadsheets in Excel to track data such as vacation requests, sick days .
  • Responded to customer inquiries via phone or email in a professional manner.
  • Maintained filing system for records, correspondence and other documents.
  • Ensured compliance with applicable laws regarding employment practices.
  • Organized company events including holiday parties, team building activities .
  • Answered phone calls, responded to emails, routed mail and coordinated courier services.
  • Managed office inventory and placed new supply orders.
  • Handled scheduling and managed timely and effective allocation of resources and calendars.
  • Maintained impeccable office organization to support efficiency, professionalism and performance objectives.
  • Reviewed files and records to obtain information and respond to requests.
  • Remained calm and professional in stressful circumstances and effectively diffused tense situations.
  • Proposed or approved modifications to project plans.
  • Produced thorough, accurate and timely reports of project activities.
  • Created and managed budgets for travel, training, and team-building activities.
  • Planned and led team meetings to review business results and communicate new and ongoing priorities.
  • Resolved customer inquiries and complaints requiring management-level escalation.

Restaurant Operations Manager

Love and War in Texas
Plano, TX
02.2017 - 01.2022
  • Developed marketing plans designed to promote upcoming shows or concerts.
  • Negotiated contracts with vendors providing services related to music production.
  • Supervised audio and visual technicians during concerts or shows.
  • Created and maintained a database of music for events and performances.
  • Scheduled and coordinated rehearsals with musicians and other performers.
  • Evaluated feedback from audience members after each event or performance.
  • Aligned music with current genre trends for maximum success and profits.
  • Prepared invoices, reports, memos, letters, financial statements, and other documents to maintain organized filing system.
  • Facilitated strategic business plan implementation and revenue generation goals by increasing and maintaining audience attendance rates.
  • Collaborated with management team on long-term strategic planning initiatives for the organization.
  • Managed staffing needs through recruitment, selection, onboarding and training, disciplinary action as necessary.
  • Assessed employee development needs and provided feedback on their progress towards meeting goals.
  • Resolved customer complaints in a timely manner while ensuring customer satisfaction remains at optimal levels.
  • Performed cost analysis for various projects to determine budget requirements.
  • Supervised day-to-day workflow of employees in order to maximize productivity and maintain quality standards.
  • Developed and implemented operational procedures to ensure quality standards are met.
  • Implemented innovative strategies that reduced operating costs while maintaining high levels of customer satisfaction.
  • Conducted regular reviews of existing policies and procedures for continuous improvement opportunities.
  • Maintained accurate inventory records to track stock levels and minimize costs.
  • Analyzed data from daily reports to identify trends in production performance metrics.
  • Monitored and improved efficiency of processes, team performance, and customer service.
  • Established effective relationships with vendors to negotiate pricing and secure materials needed for production.
  • Ensured compliance with safety regulations and maintained a safe work environment for all personnel.
  • Coordinated cross-functional teams to ensure timely delivery of products and services.
  • Delivered positive customer experiences by implementing effective quality assurance practices.
  • Recruited, hired and trained crew members on application of projects, customer relations, and customer service.
  • Addressed customer concerns with suitable solutions.
  • Tracked and replenished inventory to maintain par levels.
  • Enforced federal, state, local and company rules for safety and operations.
  • Produced SOPs to document workplace procedures and optimize productivity through standardization.
  • Connected with clients and developed strategies to achieve sales and customer service goals.
  • Identified areas of deficiency and performed root-cause analysis to solve problems.
  • Guided employees on understanding and meeting changing customer needs and expectations.
  • Planned delivery routing, team workflows, and promotional initiatives.
  • Negotiated contracts with vendors and service providers, securing favorable terms.
  • Directed day-to-day operations by spearheading implementation of short-term and long-term strategies to achieve business plan and profitability goals.
  • Implemented policies and standard operating procedures and managed quality, customer service and logistics.
  • Oversaw financial management, budget management, accounting and payroll activities.
  • Improved morale and management communication by creating employee recognition and rewards practices.
  • Built strong operational teams to meet process and production demands.
  • Completed thorough opening, closing, and shift change functions to maintain operational standards each day.
  • Delegated work to staff, setting priorities and goals.
  • Formed and sustained strategic relationships with clients.
  • Used excellent verbal skills to engage customers in conversation and effectively determine needs and requirements.
  • Mitigated business risks by working closely with staff members and assessing performance.
  • Forecasted customer demand to set prices or credit terms for goods or services.
  • Directed or coordinated financial or budget activities to fund operations and maximize investments.
  • Implemented campaigns and promotions to help with developing goods and services.
  • Appraised inventory levels on frequent basis, ordering new merchandise to keep quantities well-stocked.
  • Coordinated and directed activities of businesses or departments concerning production, pricing and sales.

Skills

  • Bloomberg Trade Order Management System
  • Solid knowledge of FINRA/SEC/IA/MSRB rules and regulations and the ability to interpret and apply as required
  • Maintains a level of understanding of financial services industry products (including life and annuities, mutual funds, equity, fixed income, options, margin, advisory and related product lines
  • Microsoft Office Suite
  • Excellent oral and written communication skills
  • Strong interpersonal skills with experience in working alone and with teams
  • Ability to effectively manage and administer sensitive and confidential information
  • Must be able to multi-task and priorities in a fast paced environment

Custom

  • Proven ability to manage multiple projects while meeting challenging deadlines
  • Serve as a departmental Regulatory Supervisor for compliance
  • Develop and implement departmental compliance processes and procedures
  • Conduct business practice reviews and investigate any concerns
  • Respond to administrative and system inquiries from traders, sales person, technology personnel, compliance, audit and management
  • Conduct systems training and create training documentation
  • Develop departmental Business Continuity and Disaster Recovery Plans
  • Liaison between business unit and auditors and monitoring related risk and control procedures
  • Retrieve data and respond to internal investigations, audit requests, and regulatory inquiries
  • Bloomberg Administrator

Timeline

Office Manager

Matrix Design Group LLC
01.2023 - Current

Restaurant Operations Manager

Love and War in Texas
02.2017 - 01.2022

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Suzanne Cathi Maxwell