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[email protected] Richmond, VA 23234 (804) 396-8746 “Excellence is never an accident; it is the result of high intention, sincere effort, intelligent direction, skillful execution
and the vision to see obstacles as opportunities.” ~Author Unknown
EDUCATION
Longwood University: Bachelor’s Degree in Business Administration Virginia Bureau of Insurance: Life, Health and Annuities License Society for Human Resource Management: Professional Member since 2015; Member ID # 01696955 Notary Public, Virginia: Commission Expires 4/30/2020 Relevant Courses: FINRA Compliance Bootcamp (AML, Cybersecurity-2016), AML- Understanding Compliance Obligations, FINRA- Private Placements, FINRA- Books and Records, Currently pursing CAMS certification (anticipated Certification- 2017)
EXPERIENCE
TFA Associates, LLC Richmond, VA 23235 Compliance Analyst/HR Manager 11/2015 – Present
Manages quarterly compliance testing for in house Broker Dealer, Investment Adviser and Fund.
Updates and maintains all compliance manuals relevant to regulatory laws enforced by FINRA, SEC and other SRO’s.
Conducts and coordinates annual compliance meetings according to our needs for all three companies.
Handles all aspects of our Human Resources Department.
Anchor Financial Group Richmond, VA 23230 Director of Recruiting/Compliance Administrator 07/2013 – 11/2015
Processed licensing and registration for all Registered Representatives.
Managed Compliance manuals and conducted compliance testing throughout the year to ensure regulatory
requirements were being met.
Created a unique compliance training program which utilized the three styles of learning.
Broadened our recruiting efforts by networking with local businesses and churches.
Improved employee retention by serving as a mediator in difficult situations.
Raceit.com Richmond, VA 23230 Manager of Customer Service 07/2012 – 07/2013
Managed and motivated a team of 2 customer service agents.
Decreased the amount of escalated customer complaints by solving issues in a timely manner.
Learned and integrated SQL into the Customer Service Department in order to reduce response times.
Implemented Zendesk which in turn created metrics to evaluate employee performance.
WENDY F. POOLE
