Jonathan Ellis

Analyzed prospective and existing client portfolios for investment performance and suitability. Assisted Senior Vice President with creation of investment proposals and rebalancing of assets under management through use of research and analysis software. Managed multiple facets of client recruitment and service, including preparation of sales materials, account openings and maintenance. Monitored accounts for adherence to compliance regulations while trading in equity and bond markets.

Directed operations for startup retail business. Managed business finances and tax reporting at state and local levels. Led implementation of primary business information systems. Structured financial processes and organized daily operations.

Coordinated fraud investigation efforts of all banks involved with client holdings and distribution. Managed records for group retirement plan distributions through use of double entry accounting. Utilized retirement products expertise and knowledge of NSCC guidelines for resolution of mutual fund fee issues. Successfully acquired and researched all primary and supporting documentation for auditors and plan service reps within established deadlines during 2003 retirement plan audits.

Business, Information and Communications