Summary
Overview
Work History
Education
Skills
Timeline
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Kellie Duffy

Bellevue

Summary

Dynamic OSJ Designee/Supervision Principal with a proven track record, adept at navigating complex regulatory environments. Skilled in relationship management and conflict resolution. I excel in guiding advisors through compliance challenges while enhancing operational efficiency. Proficient in CRM software and committed to continuous improvement, I thrive in fast-paced settings.

Overview

16
16
years of professional experience

Work History

Compliance Associate

Duncan Advisor Resources
Bellevue
08.2024 - Current
  • Supervise sales activities of financial professionals to review new commission and advisory accounts and complex transactions including variable, fixed indexed, and registered indexed annuities and alternative investments
  • Review email communications between financial professionals, clients, and staff
  • Post review of transactions
  • Provide input to Compliance regarding audits
  • Answered compliance questions from advisors
  • Steer advisors to compliance through communication and education
  • Constant communication with a wide variety of financial professionals to build and maintain relationships
  • Ability to keep abreast of and adapt to ever-changing regulatory rules and regulations

Sr. Specialist, Trade Operations

Carson Group
03.2019 - 08.2024
  • Process trade corrections to cancel, rebill, and/or place as-of trades in managed advisory accounts
  • Guided less experienced staff through processes such as complex trade corrections
  • Executed trades in third-party trading system and directly with Custodians
  • Provided support to Trade Support Team regarding Trading Procedures including Cash Needs, Systematics & Trade Corrections
  • Created pending transactions in third-party trading system for reconciliation
  • Proactively mitigated risk by processing multiple reports to assist Advisors
  • Wrote up and maintained Standard Operating Procedures for Trade Operations Dept
  • Wrote up FAQ’s and procedures for Partner Offices
  • Managed and processed Structured Note Indications of Interest and purchases
  • Provided feedback and input for procedures and process improvements
  • Managed complex projects from inception to completion, ensuring timely delivery

Registered Sales Supervision Principal

Securities America Inc.
08.2010 - 03.2019
  • Supervised sales activities of over 45 Advisors in assigned territory that included review and approval of new accounts, mutual funds, fixed annuities as well as complex products such as variable annuities and Alternative Investment transactions
  • Reviewed and approval of emails and transactions (post review)
  • Reviewed and approval of outside business activities, office sharing and annual attestations
  • Analyze sales activities and recognize trends to determine if activity falls within firm and regulatory guidelines
  • Reviewed Compliance surveillance escalations and exception reports for potential sales practice violations
  • Provided input to Compliance regarding audits
  • Answered compliance questions from advisors
  • Steer Advisors to compliance through communication, education and disciplinary actions
  • Investigate potential sales practice violations and take corrective action
  • Constant communication with a wide variety of Advisors to build constructive relationships
  • Ability to keep abreast and adapt to ever changing regulatory rules and regulations
  • Biannual office visits to Advisors in assigned territory

Trade Support Specialist

Securities America Inc.
01.2010 - 01.2013
  • Processed trade corrections including canceling and rebilling mutual fund and stock trades, changing commission and updating ticket charges on clearing firm’s system
  • Executed trades
  • Processed employee stock option trades
  • Managed representative training program on how to use trading systems
  • Compiled and processed Restricted Stock paperwork
  • Processed voluntary reorganizations, UIT rollovers, dividend elections and death puts
  • Processed bounced checks written against brokerage accounts
  • Cleared debit balances in brokerage accounts by placing trades or writing off debit balances
  • Reviewed and approved cash distributions over $100,000 and 3rd party checks and wires.

Registered Office Assistant

W.I.T Capital Management
01.2010 - 08.2010
  • Managed correspondence with clients to complete and set up new brokerage accounts, outside investment accounts, asset transfers, life insurance, annuities, disability, long term care, individual health and Medicare Supplement policies
  • Group Benefits Administrator for two large corporations
  • Enrolled employees in health, disability and dental insurance
  • Processed and deposited checks
  • Ran proposals for various financial products
  • Facilitated client service requests
  • Calculated allocations and placed trades in fee-based client accounts directly with Custodian
  • Prepared month end and quarterly sales reports.

Education

High School Diploma -

Westside High School
Omaha, NE

Skills

  • FINRA Licenses - 7, 24, 66, 4 & 53
  • Excel
  • Word
  • CRM Software - Salesforce & Redtail
  • Relationship Management
  • Self-Motivated
  • Verbal & Written Communication
  • Conflict Resolution
  • Detail Oriented
  • Organization & Priority Skills
  • Time Management
  • Fast Learner

Timeline

Compliance Associate

Duncan Advisor Resources
08.2024 - Current

Sr. Specialist, Trade Operations

Carson Group
03.2019 - 08.2024

Registered Sales Supervision Principal

Securities America Inc.
08.2010 - 03.2019

Trade Support Specialist

Securities America Inc.
01.2010 - 01.2013

Registered Office Assistant

W.I.T Capital Management
01.2010 - 08.2010

High School Diploma -

Westside High School

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