DIANA URICHICH

10401 Haddonshire Lane | Charlotte, NC 28270 | 704-906-3244 (M) | durichic

h@yahoo.com
LEADERSHIP IN FINANCIAL SERVICES
Sales Administration | Team Leadership | Relationship Management
Accomplished financial services professional with strong background in complianc
e, sales management operations, and insurance. Proven ability to coach high-perf
orming sales teams to exceed performance expectations. Outstanding relationship
manager with track record of developing and expanding client interactions. Focus
on conducting needs analyses as part of uncovering productive and profitable so
lutions. Strong written and oral communication skills. Fluent in Spanish. Additi
onal capabilities include:
Regulatory Compliance Internal Communications Policy and Procedure Creatio
n Marketing
Staff Training and Development Consultative Sales and Client Support Proj
ect Management
PROFESSIONAL EXPERIENCE
WELLS FARGO EVERGREEN INVESTMENTS (Formerly Wachovia), Charlotte, NC 1999-2010
Chief Compliance Office (2009-2010)
Oversaw and managed compliance issues within the broker dealer organization. Des
igned and implemented internal controls, policies, and procedures to assure comp
liance with applicable local, state, and federal laws and regulations, and third
party guidelines. Implemented, administered, and monitored risk-based programs.
Managed audits and investigations and responded to requests for information fro
m regulatory bodies; developed corrective action plans. Provided compliance expe
rtise for firm-wide projects and initiatives.
Served as compliance expert during the broker dealer merger project, a 10-month
initiative that was successfully executed on time. Collaborated with FINRA and
state agencies.
Implemented monthly checklist that added an additional level of control and pro
vided supervisory principals with a tool to engage registered representatives in
monthly compliance discussions.
Monitored and assessed ongoing mutual fund regulatory developments; created a f
orum to ensure that all registered representatives were informed of relevant cha
nges and trends in compliance.
Conducted comprehensive evaluation of testing process; implemented new procedur
es to ensure that programs included more risk-based testing.
Enhanced licensing policies and procedures to ensure consistency across departm
ents and broker dealers, which eliminated confusion among employees and mitigate
d risk associated with having two broker dealers (Wells Fargo and Evergreen).
Director of Sales Initiatives and Administration (2008-2009)
Managed complex projects for firm leadership and partnered with sales management
to set annual sales goals and strategies. Led team of eight investment services
professionals. Implemented a comprehensive employee training and development pr
ogram that emphasized technical proficiencies, on-boarding, and specialization.
Planned and organized events for key clients and national conferences for sales
team.
Negotiated contracts with key clients, which saved $150,000 per year.
Enhanced email review process and aligned project managers with national sales
managers to improve business management outcome.
Evaluated and selected new software options to ensure that sales personnel had
access to the latest technology; negotiated vendor contract and leveraged enterp
rise relationships to gain price advantages.
Sales Desk Manager (2006-2007)
Developed and implemented departmental policies, supervisory procedures, and goa
ls for the sales desk. Managed high-performing team of 15 internal sales consult
ants and 5 hybrid wholesalers; devised innovative rewards and recognition opport
unities. Created strategies for maintaining and expanding client relationships;
partnered with national sales manager to measure and communicate strategic initi
atives.
Coached 15 sales consultants to develop consultative, client-centered selling t
echniques and cross-selling abilities that increased productivity levels by 25%.
Enhanced sales measurement tools using call monitoring techniques.
DIANA URICHICH, PAGE TWO
704-906-3244 (M) | durichich@yahoo.com
Sales Desk Manager Continued
Partnered with field sales management to create a compensation plan that forged
an effective partnership with field wholesalers, hybrids, and internal wholesal
ers; strategy was rolled out across larger asset base.
Won Dalbar (third party firm) financial intermediary pre-sale service award.
Received a position of strength in 2 key categories from Markets Metrics (2006,
2007).
Sales Initiatives Manager (2003-2005)
Built and led a team of investment professionals that supported the distribution
group; oversaw initiatives in project management, communications, business deve
lopment, training, and employee development. Managed publication of monthly comp
any newsletter. Coordinated on-boarding for new internal and external wholesaler
s. Developed DVD-based mutual fund, annuity, and sales process training modules
for licensed bankers.
Sales Initiatives Team Leader (2002-2003)
Development Specialist (1999-2002)
Created highly structured, focused on-boarding process for new distribution chan
nel employees. Created multiple reference guides for sales team. Trained employe
es in PowerPoint and sales skills. Managed team of three employees. Conducted mo
nthly client surveys and communicated results and recommendations to improve cus
tomer service to sales management.
BANC ONE (Currently JP Morgan Chase), Columbus, OH 1993-1999
Insurance Specialist Hybrid Specialist (1999)
Provided sales and training support to sales team. Built relationships with bank
channel brokers and provided field support for marketing of fixed and variable
annuities. Supported the creation of focused insurance training modules. Managed
product fulfillment process and monitored marketing material usage.
Mutual Fund Product Manager (1997-1998)
Managed relationships with all third-party mutual fund companies and secured cor
porate approval for all field marketing materials.
Developed strategies to leverage marketing initiatives, including referral camp
aigns and cross-selling strategies, across objectives for all distribution chann
els.
Negotiated revenue sharing agreements that leveraged payment terms and generate
d millions in additional revenues.
Project Coordinator (1995-1997)
Developed long-term products, programs, and marketing campaigns for licensed ban
kers. Managed multiple strategic initiatives within the bank channel.
Created new sales management reporting process that segmented equity and fixed
income and ranked top-selling funds and brokers.
Collector, Credit Card Division (1993-1995)
EDUCATION
THE OHIO STATE UNIVERSITY, Columbus, OH
Bachelor of Science in Business Administration; Concentration in Marketing
PROFESSIONAL LICENSES
FINRA Series 7, 24, and 63