Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
Generic

Geri Cuicci Petrilli

Northvale,NJ

Summary

High performing visionary and strategic leader with broad experience and consistent success in leading teams, organizational management, process improvements, employee development, training and executing client, shareholder, and employee focused strategies. Extensive knowledge of all aspects of brokerage industry products, services and procedures.

Overview

30
30
years of professional experience
1
1
Certification

Work History

AVP / Private Client Banker, MOD

JPMorgan Chase & Co.
Montvale, NJ
09.2019 - Current
  • Act as main point of contact for select group of Chase's affluent clients, actively manage their banking relationship through advice based approach, and helped VP's add value and growth to annual sales volume.
  • Achieved effective and consistent growth month over month in Business Metrics that drive branch results including Lending and Investments.
  • As MOD, worked as part of branch leadership team.

Producing Branch Manager

Scottrade, Inc.
Ridgewood, NJ
09.2009 - 03.2018
  • Managed branch with $356 million AUM by using investment, financial and interpersonal skills to help ensure customers met investment needs.
  • Successfully led turnaround of underperforming location, achieving customer service score of 902 from starting point of 772 in 1 year.
  • Achieved incremental market increases in total deposits and guidance accounts, consistently meeting and exceeding company goals.
  • Oversee all policies and procedures of my Office of Supervisory Jurisdiction Branch. Supervised licensed associates in all areas of FINRA, SEC regulations, option strategies and advanced trading technologies.
  • Managed sales of bank and brokerage products, new business development, day-to-day operations, customer service and Investment Consultant activities.
  • Analyzed customer requirements and goals by identifying gaps, insufficient diversification and risk management to help achieve financial goals.
  • Facilitated regional branch meetings to educate peers on organizational business planning and standardization of business process and implementation of best practices.
  • Assessed employee performance and developed improvement plans.

Investment Advisor

Quest Capital Strategies
Northvale , New Jersey
04.2008 - 09.2009
  • Met and collaborated with existing and prospective clients to ascertain financial goals and provide recommendations on investment solutions.

International KYC Quality Assurance Auditor

Madison Consulting Group
Jersey City, New Jersey
05.2006 - 10.2007
  • Worked with major bank's regulatory compliance group to perform enhanced due diligence reconcile and complete KYC remediation project for foreign and domestic institutional customers.
  • Conducted internal and external research requests and completed documentation process to resolve deficiencies to comply with KYC, AML and BSA guidelines.
  • Conducted background investigations using Bridger Insight and World-Check databases regarding client ownership, key senior managers and correspondence based on AML risk requirements.
  • Documented audit findings and worked with compliance, middle management and relationship managers to ensure deficient items were resolved in timely manner.
  • Partnered with business units to ensure effective compliance programs developed implemented for enhanced practices.
  • Developed risk-based programs for review of client profiles; conducted compliance testing of international client programs and made recommendations for improvements.
  • Liaised with relationship managers to prepare client records that reflect accuracy of client call reports, site visits and other documentation.
  • Analyzed transactions activity for suspicious or unusual patterns using various internal mainframe system reports.

TD Ameritrade, Inc.

Premier Services Vice President
New York, New York
01.2003 - 05.2006
  • Leader of day-to-day operations of specialized team in three site, high volume call center comprised of 2 Team Managers and 20 Senior Account Representatives responsible for enhancing relationships with firm's high net worth and active trader segment.
  • Oversaw the handling of all operational & compliance issues - order entry, suitability and broker development.
  • Collaborated on with Technology Services and Marketing Team on project for redesign of active trading website.
  • Successfully completed satisfactory rating on all internal and external departmental audits.
  • Directed remediation responses to operational and compliance issues.

New York Call Center Manger, VP

TD Ameritrade Inc. (TD Waterhouse, Inc).
New York, New York
06.1993 - 05.2001
  • Organized and administered operations of 120 person Call Center responding on average 8000 daily calls per day; managed 6 Assistant Managers with responsibilities which included professional development and mentoring.
  • Executed Human Resources and team building responsibilities; actively recruited, trained, supervised and evaluated all levels of employees.
  • Responsible for implementation of tools, measurements and ongoing education to improve department efficiency and productivity.
  • Partnered with Senior Management to develop employee Goals and Objectives for national Call Center staff.

Education

Bachelor of Science - Finance

New Jersey City University
Jersey City, NJ
12.1992

Skills

  • Brokerage expertise
  • Training and development
  • Relationship management
  • Investment Planning
  • Compliance regulations
  • Sales

Accomplishments


Scottrade, Inc.

  • Successfully migrated Financial Advisors from transactional business model to sales-focused strategy.
  • Achieved successful turnaround of underperforming location achieving increase of customer service score from 772 to 925 in 1 year.
  • Consistently recognized as top quarterly performer - individually and for sales team..

Madison Consulting Group

  • Participated in KYC remediation project at leading Investment Bank involving > 1000 foreign and domestic Institutional Investors.

TD Ameritrade, Inc (TD Waterhouse, Inc.)

  • Assisted Executive Management in the research and establishment of the business model for the Active Trader segment focusing on client satisfaction, retention and growth of assets.
  • Conducted internal and external interviews; participated in build out of New York Call Center staff from 75 to 120 associates.
  • Initiated and piloted a Trade Dispute Team which resulted in the creation of Trade Support Department.
  • Selected as site leader of the firm's Service Excellence Team, focused on improving customer satisfaction.

Certification

Licensure

FINRA series 7, 8, 24, 63 and 66

Timeline

AVP / Private Client Banker, MOD

JPMorgan Chase & Co.
09.2019 - Current

Producing Branch Manager

Scottrade, Inc.
09.2009 - 03.2018

Investment Advisor

Quest Capital Strategies
04.2008 - 09.2009

International KYC Quality Assurance Auditor

Madison Consulting Group
05.2006 - 10.2007

TD Ameritrade, Inc.

Premier Services Vice President
01.2003 - 05.2006

New York Call Center Manger, VP

TD Ameritrade Inc. (TD Waterhouse, Inc).
06.1993 - 05.2001

Bachelor of Science - Finance

New Jersey City University

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Geri Cuicci Petrilli