Resume Sample for Associated Director

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The following is an example of Associated Director resume sample. Reviewing the candidate's full work experience, outlining key-qualifications, duties and responsibilities for the Associate job title/field.

Resume Writing Example for Associated Director | CV Format

Associated Director – UBS Financial Services Inc

Lyndhurst, NJ

Authorized to work in the US for any employer

Work Experience

Associated Director

UBS Financial Services Inc

Weehawken, NJ

August 2005 to Present

• Execute and review reports from Business systems and FINRA for Senior Management, Audit and other groups on a regular and ad hoc basis 
• Partner with Legal Department to identify language for Form U4/U5 relating to customer complaints and arbitrations 
• Investigate and Track regulatory filings for the Legal Department 
• Coordinate the filing of numerous regulatory forms on behalf of various Broker Dealers and Registered Representatives 
• Review bankruptcies and judgements/liens 
• Track FINRA/NFA Continuing Education requirements for registered representatives 
• Review FINRA queues daily (i.e. Disclosure, Fingerprints) 
• Responsibilities included the tracking and submission all of fingerprint cards via BIG and weekly fingerprints report. 
• Compile State Letter requests as well as developing and maintaining a relationship with State Regulators 
• Project manage monthly state and firm requirements in accordance with the applicable regulator rules (i.e. Nebraska Attestations, Colorado email submission, Tennessee Tax and mailing of U5s and amendments) 
• Assist Senior Management with special projects 
• Provide support to forms filing team with processing pre-hires, state and exam requests and applications for commodity licenses 
• Conduct monitoring, testing and systems analysis

Executive Administrative Assistant

UBS Financial Services Inc

Weehawken, NJ

May 2004 to August 2005

• Proactively provided support to Registration & Licensing management and team, as assigned 
• Managed calendars, schedule meetings along with various clerical duties 
• Organized and Assisted Registration and Insurance Licensing with special projects and other responsibilities 
• Compiled weekly and monthly department stats for Senior Management 
• Recorded and Updated individual FINRA Registration and Insurance Licensing data 
• Managed and distributed all updates for the Insurance Licensing Carrier spreadsheet 
• Arranged and Coordinated Insurance vendor billing

Executive Sales Administrative Assistant

CBA Industries

Paramus, NJ

February 2004 to May 2004

• Provided administrative support, including creating presentations, drafting memos and emails, maintaining and editing graphs/charts and spreadsheets 
• Coordinated meetings, routed phone calls and monitored office supply 
• Entered distribution orders into networking system

Office Administrator

Hanger Orthopedic Group

Hackensack, NJ

August 2003 to February 2004

• Provided customer service for patients and referral sources 
• Obtained verification and pre-authorization from insurance companies 
• Directed communications with payers to ensure accurate billing practices 
• Created deposit slips and posted payments 
• Maintained financial records for each patient while coordinating billing and invoices

Customer Service Representative

CBA Industries Inc

Paramus, NJ

May 2000 to February 2004

• Acted as Assistant Supervisor of a small team 
• Responsibilities included the maintenance of customer complaints in internal systems and providing employee training 
• Performed office administration and billing duties 
• Receptionist duties included: answering and routing phone calls, recording messages and filing


B.A. in Business concentrated

Montclair State University

Upper Montclair, NJ


ACCESS (10+ years), EXCEL (10+ years), MICROSOFT OFFICE (10+ years), MS OFFICE (10+ years), OUTLOOK (10+ years)
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