Kathleen H McKee101 Wildwood Beach Road #4, Saint Paul, MN 55115 ‖ (651) 429-9259/(612) 718-5976 ‖ [email protected]
SUMMARY
Financial Services professional with strong communication skills, ability to multi-task, strong attention to detail, excellent problem –solving and follow – up skills
Thorough knowledge of investment products, mutual funds, general securities and other financial products Ability to make regulatory and supervisory based decisions necessary to complete the day to day functions of
the role Software/Proficient in Microsoft applications Word, Excel, PowerPoint and Outlook Series 7,24,53,63,66 Licensed State of Minnesota Insurance – Life & Health
PROFESSIONAL EXPERIENCE
Northland Securities, Minneapolis, MN, 2009 - 2016Supervisory Principal
-- Managed Daily Trade Review for Retail and Institutional Blotters using Actimize electronic system -- Daily Review of Retail and Institutional email using SMARSH System
-- Maintained Firm Wide Do Not Email/ Call List
-- Review and approve New Accounts for both Broker/Dealer and RIA Accounts
-- Maintained and Report RIA business for Firm as the Supervisory Principal
-- Conducted Monthly Review of Correspondence for Retail and Institutional Representatives
-- Conducted annual compliance audits of Branch Offices
-- Maintain and compile Quartley Supervision Reports
--Assist with regulatory exams and requests as well as assist with the maintenance of firm’s written supervisory procedures
UBS Financial Services, Saint Paul, MN, 2008 Registered Client Sales Associate-- Provided client sales support for representatives that generated $1,000,000 of revenue for firm.-- Responsible for all scheduling, expense reporting and updating of Representative’s Insurance and Securities Licensing.-- Maintained client files and documentation, upholding highest confidentiality standards. -- Established excellent client rapport with High Net Worth clients and provided information for initial client inquiries regarding their accounts.-- Compiled quarterly investment reports for client meetings and presentations.
-- Participated in the sales process for various investment products.-- Effectively solved unique and problematic security operational issues to maintain client satisfaction.
Thrivent Financial for Lutherans, Minneapolis, MN 2007 - 2008Market Conduct Specialist-- Served as compliance specialist for Twin Cities metro region.-- Permanently hired from temporary contract within 90 days.-- Responsible for monitoring email and written correspondence for 100+ registered representatives.-- Provided training sessions on Compliance Policy to incoming representatives.-- Conducted Annual Branch Compliance Audits.-- Fielded compliance questions from regional employees on a daily basis.
Piper Jaffray, Minneapolis, MN, 2005 - 2006Compliance Analyst – Capital Markets -- Monitored division email, phone and face to face interactions for 200 Research Analysts and Investment Bankers.-- Maintained weekly surveillance of trading practices of entire firm.-- Responded to Regular requests for trading information regarding new issue equity transactions (NASD, NYSE, SEC).-- Proficient in BRIO reporting system.
Piper Jaffray, Saint Paul, MN, 1993 - 2005Sr. Registered Sales Assistant-- Maintained client documentation for 240 new and established accounts with an average portfolio value of $500,000.-- Member of Taylor / Phillips Wealth Management team.-- Responded to compliance division inquiries, providing accurate documentation regarding customer accounts and suitability of investment products.-- Initiated resolutions for client issues and concerns.-- Participated in audits with firm compliance group, assembling all required documentation and information, resulting in 100% compliance.-- Led computer conversion project, developing documentation and training brokers, meeting project deadlines: point person for brokers and clients in navigating new online system.-- Coordinated continuing education for 30 person office with outside vendors to provide firm and state insurance training.-- Developed and maintained ongoing client relationships by educating on new financial products, changes in fee structures and other factors with accounts.
EDUCATION
B.E.S., Business and Economics, University of Minnesota, Minneapolis, MN
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