Chelsey David

Experience

• 

  Park Avenue Wealth Management (LPL Financial)

  Feb 2010 - Mar 2012

  Sales Assistant

  • Compliance management and record retention• Place securities trades, money movement requests and process account transfers• Assist during routine Branch Exams• Open new accounts and ensure complete and accurate records• Provide exceptional customer service to high net worth clients and organize client appreciation events

• 

  Comerica Securities Inc

  Mar 2012 - Aug 2014

  Sales Associate

  • Lead Sales Assistant supporting a team of 7 Financial Advisors• Follow industry and firm regulations to ensure a compliant branch office • Maintain branch compliance logs and client files• Open new accounts and ensure complete and accurate records• Place securities trades, money movement requests and process account transfers

• 

  LPL Financial

  Sept 2014 - now

  • Manage department Training and Quality Control teams responsible for routine training and quality control review of a staff of 100• Oversaw on-boarded and training of 44 new employees during a (< 2 year) period of unprecedented attrition.• Developed departmental Quality Control program responsible for testing adherence to policies and procedures• Creatively designed and implemented effective methods for training newly hired branch auditors• Automated technology system requests for new hires reducing average handle time from 3 hours to 15 minutes per new hire.• Project Manager for interdepartmental automation of new hire training material• Manage Employee Engagement Committee responsible for soliciting feedback and organizing engagement opportunities• Support and encourage professional development of direct reports• Offer constructive feedback to direct reports with tact and empathy• A champion of the firm’s mission, values and culture Show less • Perform post audit Quality Control reviews to detect and analyze missed risk• Review high-risk audit findings to determine and issue disciplinary action• Present high risk branch audit findings before firm Executives and collaborate with business parters on high risk findings• Conduct routine and for cause audits and prepare written reports of findings • Overview audit findings with advisors and manage difficult conversations professionally• Experience in leading and collaborating with a team of auditors during large branch audits and special projects• Presented and lead engaging training sessions to an audience of 100+ during training conferences and on training calls• Educate Advisors and support staff on policies, procedures and technology• Mentor for newly hired branch auditors responsible for training and oversight of work quality Show less

  • Assistant Vice President

    Sept 2023 - now

  • Manager

    Oct 2021 - Sept 2023

  • Principal Examiner

    Sept 2014 - Oct 2021