Liz P.
Investment Compliance Professional with Finra registrations 6,7, 24, 63 & 66, WI Life, Annuities and Accident/Health insurance license and superb client service looking to add value to your firm.
- Role
- Senior Specialist Advisory Complisnce at Empower
- Location
- Milwaukee, WI, US
- LinkedIn followers
- 500 followers
About Liz P.
Investment Compliance Professional with 18 years experience. Finra Series 6,7, 63, 66…
Experience
Senior Specialist Advisory Complisnce
Jan 2024 — Present · US
Conduct testing to ensure compliance with regulations and compliance policies. Monitor text messaging via FRONT.Answer questions from IARs regarding compliance and proper procedures.Create new procedures for testing.Collaborate and cross train teammates and sister teams.Involved in a few Business Resource Groups. Use of Salesforce, NetX360, MyVest, Excel, Tableau,Word, Adobe, Red Oak.
Education
University of Wisconsin-Madison
Bachelor of Business Administration (BBA)
Skills
- Customer Service
- Training
- Mutual Funds
- Trading
- Microsoft Excel
- Employee Benefits
- Microsoft Office
- Benefits Administration
- Series 63
- 401k
- Hold Series 7
- Series 6
- Insurance
- Leadership
- Accounts Receivable
- Disability Insurance
- Analysis
- Team Building
- Management
- Retirement Planning
- Finra
- Outstanding Customer Service
- Strategic Planning
- Series 7
- Financial Services
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