Chelsea Alton
Saint Paul
Summary
I am a highly capable and fast learning professional seeking a career in Data and Analytics. Demonstrated history in the financial services industry, focused on investment reporting, quality assurance analysis and supporting operational functions. I am eager to begin a career journey and expand my knowledge base in this field. I excel at multitasking, work prioritization, communication, with a passion for excellent work results. Professional references available upon request.
Overview
4
4
years of professional experience
Work History
Investment Advisory Compliance Analyst
Cetera Financial Group
08.2023 - Current
- Maintained compliance requirements established by SEC and FINRA.
Investment Advisory Compliance Specialist
Securian Financial
03.2022 - 08.2023
- Assisted FINRA registered associates by providing advisory reports pertaining to SEC required investment monitoring.
- Performed critical problem solving on daily requests provided by the field of financial professionals in assisting with investment accounts
- Tasked with procedural improvement on established advisory reporting to ensure more efficient monitoring and expedited results
- Provided effective and timely communication to associated firms, field principals and internal associates
Quality Assurance Analyst
Securian Financial
01.2020 - 03.2022
- Maintain the Quality Assurance program for our Individual Life, Annuities and Retirement markets of the Enterprise contact center
- I was responsible for, but not limited to vender management, budget, quality scorecard audits and implementation of onboarding markets into Quality
- Report on Quality metrics to key stakeholders including people leaders, management, and executives
- My team was responsible for the managing the Quality Ambassador program that has proven a positive impact amongst high quality scoring CSAs
Education
No Degree - Education Administration
Century College
White Bear Lake, MN05.2016
High School Diploma -
Roseville Area Senior High School
Roseville, MN06.2013
Skills
- Project Management
- Compliance Reporting
- Proficient in Microsoft (Word, PowerPoint, Excel, etc)
- Time Management
- Organization Skills
- Time Efficiency
- Customer Service
Volunteer
- I volunteer at the Women's Club of Minneapolis
- From 2013-2019 I was a local basketball coach for Roseville Youth Basketball Association And Moundsview Basketball Association
Hobbies and Interest
In my free time I enjoy spending time outdoors with family and friends either fishing, hiking or exploring new local restaurants. When I am not outside I love to read, cook or go bowling! I adopted my chihuahua/terrier mix named Daisy in 2020, she keeps me plenty busy!
Timeline
Investment Advisory Compliance Analyst
Cetera Financial Group
08.2023 - Current
Investment Advisory Compliance Specialist
Securian Financial
03.2022 - 08.2023
Quality Assurance Analyst
Securian Financial
01.2020 - 03.2022
No Degree - Education Administration
Century College
High School Diploma -
Roseville Area Senior High School
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