Shannon Dotson Waddell
Clinton
Summary
To obtain a position in the Financial Services Industry where my work experience and industry knowledge can be used to benefit an organization and allow me opportunities to continue to grow professionally.
Over 30 years of experience in the Financial Services Industry Goal-oriented individual with strong leadership abilities Proven ability to lead and perform in what is often a highly challenging industry Organized, professional and detailed problem solver
Overview
23
23
years of professional experience
Work History
Administrative Manager
04.2023 - Current
- Manage team of sales assistants and operations manager
- Calculate commission payout to financial consultants according to establish payout grids.
- Provided department status reports to management committees.
Brokerage Operations Manager
Trustmark Financial Services
08.2005 - 04.2023
- Manage all aspects of brokerage operations team
- Supervise daily processes and work flow of new accounts, account transfers, cashiering, research, etc.
- Coach operations staff to ensure quality service
- Respond to operations inquiries from Financial Advisors and support staff
Compliance Administrator
Trustmark Wealth Management
11.2002 - 08.2005
- Monitored the trading activity of Financial Consultants
- Performed routine branch office examinations as required by FINRA and other state/federal regulators.
- Performed suitability reviews, approved incoming/outgoing correspondence as well as sales and advertisements.
- Provided reports to senior management.
- Assisted the Chief Compliance Officer with establishing written supervisory procedures for the firm.
- Responded to compliance inquiries from financial consultants.
Education
High School -
Clinton High School
Clinton, MSUniversity of Southern Mississippi -
University of Southern Mississippi
Hattiesburg, MSMississippi College -
Mississippi College
Clinton, MSSkills
- FINRA Series 7
- Series 24
- Series 63
- Series 65 registrations
- MS Life and Health Insurance License
- Proficient in Microsoft Office Applications
References
Excellent business and professional references are available upon request.
Registrations Licenses Skills
- FINRA Series 7
- FINRA Series 24
- FINRA Series 63
- FINRA Series 65 registrations
- MS Life and Health Insurance License
- Proficient in Microsoft Office Applications
Profile
Over 30 years of experience in the Financial Services Industry, Goal-oriented individual with strong leadership abilities, Proven ability to lead and perform in what is often a highly challenging industry, Organized, professional and detailed problem solver
Timeline
Administrative Manager
04.2023 - Current
Brokerage Operations Manager
Trustmark Financial Services
08.2005 - 04.2023
Compliance Administrator
Trustmark Wealth Management
11.2002 - 08.2005
High School -
Clinton High School
University of Southern Mississippi -
University of Southern Mississippi
Mississippi College -
Mississippi College