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Resume

 

KMS FINANCIAL SERVICES, INC. | Seattle, WA

Compliance Specialist 

September 2015-Present

 

Inspect financial plans to ensure accuracy and prevent the display of misleading information

Evaluate annuity business to protect clients against unsuitable sales and to comply with FINRA. Review annuity applications and clients’ personal backgrounds

Review trades to ensure that representatives are properly licensed to make sales

Build the annual compliance session by compiling information from all departments

Review annual compliance meeting submissions. Ensure that representatives maintain their annual compliance meeting requirements according to FINRA

Research and confirm client information by assessing client identification reports and reaching out to representatives for additional facts and materials

Accumulate data for office examinations. Research and analyze quantitative metrics on company performance for office examinations by state and internal regulators

 

TRUE NATURE GROUP | Kirkland, WA

Intern, Accounting

Summer, 2013

 

Managed bookkeeping and account reconciliations in SAP for the entire company

Processed purchase orders and credit memos, contributing daily to the sales efforts of the business

Ensured that receivables were collected promptly by contacting customers in various cities and countries

 

AUBREY’S CLOCK GALLERY | Issaquah, WA

Sales Associate & Buyer

June 2013-January 2014

 

Quoted prices, discounts, trade-in allowances, warranties and delivery dates

Purchased store merchandise and maintained selling floor presentations in the gallery

Changed clock movements, batteries, and watch wristbands

 

ISSAQUAH CHAMBER OF COMMERCE | Issaquah, WA

Intern, Tourism

Summer, 2013

 

Greeted visitors, and provided directions and information to guests

Organized visitor data for the 2012-2013 year in excel, enabling all visitor data to be accessed digitally

 

 

 

EDUCATION

 

FOSTER SCHOOL OF BUSINESS—UW | Seattle, WA

Bachelor of Arts in Business Administration

June 2015

Major in Finance

 

UW Foster Rome Study Abroad Program | Summer 2014

                                                                                                          

BELLEVUE COLLEGE | Bellevue, WA

Associate in Arts and Sciences

June 2012

 

FINRA EXAMS

Passed Series 66 Exam – Uniform Combined State Law | Spring 2017

Passed Series 7 Exam – General Securities Representative | Autumn 2016

Passed Series 99 Exam – Operations Professional | Autumn 2015

 

 

ACTIVITIES AND AWARDS

 

Recipient of the Robert and Marilyn Lemman Endowed Scholarship | 2014-2015 Academic Year

University of Washington Dean’s List student | Fall & Winter Quarter 2013-2014

UW Undergraduate Women in Business Club Director of Procurement | April 2013-February 2014

Graduated from Bellevue College with High Distinction (4.0 GPA) | June 2012

Bellevue College Model United Nations Club Member/Delegate | 2011-2012 Academic Year

Providence Marianwood Assisted Living Volunteer | 2010-2012

Member of Bellevue College’s chapter of Phi Theta Kappa Honor Society | 2011-present

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