Shannon Ryan

Business executive with over 26 years’ experience in the financial services industry. Praised for ensuring the highest level of service is delivered consistently. Possesses analytical, planning, and interpersonal abilities which highlight problem solving, process development and organization.

Strong communicator who can work flexibly in a fast-paced, diverse environment. Technical skills include proficient use with various industry software programs including SalesForce, Amplify Technology, LaserApp, Netx360(Pershing), RBC, Schwab Advisor Center, Principia Morningstar, Back Room Technician, Breaking Away/Goldmine, Black Diamond, Agreement Express, Tallyfy and Microsoft Suite, especially Word and Excel.

Compliance Specialist - CoreCap - Southfield, MI

(2025-08)

• Compliance lead for auditing trade monitoring system (Jaccomo)
• Auding firm’s Pontera accounts and creating comparison process for accounting quarterly review
• Assisted in creation of Compliance calendar
• Providing guidance to advisors in identifying their needs and providing suitable solutions to issues utilizing research, knowledge of securities rules and regulations in coordination of industry experience
• Responsible for various regulatory monitoring duties including but not limited to reviewing and approving new advisory accounts for opening, transfers, DOLs, trade review, email review, check blotter approval, testing, vender review.

Project Manager - CoreCap - Southfield, MI

(2022-08)

• Project lead on improving the electronic application submission software – Amplify
• Tasked with exploring and implementing a knowledge base system for internal procedures
• Responsible for reviewing, testing, questioning, improving and documenting procedures
• Integral contributor with Compliance personnel on developing a field policy manual for registered representatives and investments advisors
• Transition lead and security administrator for the TDAmeritrade to Schwab merger

Team Leader of New Business - CoreCap - Southfield, MI

(2020-02 - 2025-08)

• Supervision of 8 employees in New Business and Operations
• Creating training modules for new employees
• Handling escalated issues in a timely manner
• Involved in reviewing resumes, reviewing Predictive Indexes, and interviewing
• Assisting in developing new registered representative and investment advisor training and education

Case/Relationship Manager - CoreCap - Southfield, MI

(2017-02 - 2025-08)

• Tasked with the set-up of LaserApp for the firm and all registered representatives and investment advisors
• Responsible for maintaining forms on LaserApp
• Directly assisted a book of registered representatives and investment advisors to establish new accounts with a variety of custodians including Schwab, RBC, mutual funds, alternative investments, VA and VUL companies
• Accurately advised registered representatives and investment advisors on correct forms and process for opening and servicing accounts
• Timely processing of client requests that include withdrawals, contributions, setting up ACH and standing letters of authorization
• Inputting data directly on RBC platform to establish clients, accounts, and all service requests

Client Services Director - Centaurus Financial - Troy & Auburn Hills, MI

(2007-06 - 2017-02)

• Directly supervised up to 3 team members, including hiring, firing, progress monitoring, and employee reviews
• Trained and mentored more than 10 employees
• Collaborated in developing and implementing firm compliance and processing procedures
• Responsible for client service to 200+ direct clients, while supervising support staff for another 250+ clients and 400+ prospects
• Continuous research on both current and old products and riders of policies
• Developed various reports for producers, clients, attorneys, and CPAs utilizing Excel
• Coordinated rebalance functions for more than 20+ products/investment companies

Client Services Associate - Centaurus Financial - Troy, MI

(2002-02 - 2007-06)

• Utilized effective problem solving and creative thinking to resolve client issues promptly while retaining and expanding the client relationship with superb service
• Reviewed all paperwork for accuracy to be processed
• Full administrative support including scheduling meetings, preparing paperwork, processing forms, transfer follow-up, determining cost basis and RMD requests
• Full preparation for client meetings including using Albridge, LaserApp, and Back Room Technician
• Accountable for maintaining updated sales materials, prospectuses, compliance files, and office supplies

Sales & Marketing Assistant - Centaurus Financial - Troy, MI

(1999-09 - 2002-02)

• Responsible for client retention
• Prospecting on leads, seminar attendees and client referrals
• Developed monthly drip letters for clients and prospects
• Aided in the coordination of client and public seminars
• Maintained and filled daily schedule for appointments
• Made 90 Day No Contact Calls to 400+ clients

Bachelor of Arts - Business Administration - William Tyndale College