Joseph Slechta has over 20 years of experience in the financial services industry, with a focus on compliance. He holds several securities licenses and currently works as a Senior Supervisory Principal-Vice President at Smith Barney/Citi Personal Wealth Management, where he manages compliance for 150 financial advisors. Prior to his current role, Slechta held various operations and compliance management positions at Smith Barney, including Group Administrator and Operations Manager. He has a B.S. in Comprehensive Business Administration with an emphasis in Finance from the University of Nebraska at Kearney.

1. JOSEPH A. SLECHTA
14825 Omicron Drive
San Antonio, TX 78245
210-238-8176
slechtajoseph@yahoo.com
Objective
To use my compliance background in the Financial Services Industry to obtain a challenging position
that offers the ability for leadership and career growth.
Education
B.S., University of Nebraska at Kearney, 1997
Major: Comprehensive Business Administration
Emphasis: Finance
Relevant Work Experience
Senior Supervisory Principal-Vice President
Smith Barney/Citi Personal Wealth Management (2008-present)
Manage the day to day compliance needs of 150 Financial Advisors in the
Western Division. Train and coach a staff of 10 supervisory principals with their
9/10 licenses and 2 support staff in risk management. Main functions include
coaching staff to engage a proactive approach to risk management in daily
activities whose overall responsibilities include blotter reviews, daily account risk
alerts, mutual fund compliance, complaints, trade errors/corrections, suitability,
patriot act compliance and concentration reports for the Financial Advisors.
Responsible for handling HR issues including internal complaints, annual
reviews, interviewing, hiring, salary reviews, coaching and termination of
supervisory and support staff. Ensure branch procedures are in compliance with
regulatory agency rules and firm policies. Successful in transitioning from an
office of 20 Financial advisors and 7 support staff with 15 million in revenue to
over 150 financial advisors and approximately 50 million in revenue. I also led
the National Investor Center transition from Smith Barney platform to the
Pershing platform in 2011. All internal audits were in compliance with firm
guidelines
Group Administrator
Smith Barney (2008)
Managed and regulated workflow for a team of 5 advisors and 4 support staff.
Co-ordinated completion of projects and resolved issues. Task delegation and
monitoring of task completion. Facilitated weekly pipeline management call and
weekly team meeting. Acted as a resource for the team for problem solving.

2. Operations Manager
Smith Barney (2004-2008)
Managed the day to day operations of 20 advisors and 7 support staff with annual
revenues of 15 million. Processed all daily operational and compliance requests
including all funds movement, trade approval, trade blotter/correction reviews,
approval of incoming and outgoing correspondence. Resolved all service,
administrative and operational problems, while communicating status to Financial
Advisors and clients. Employment functions including interviewing, hiring,
coaching, counseling and termination. Performance appraisals/disciplinary
actions and salary reviews for support staff. Ensure branch procedures are in
compliance with regulatory agency rules and firm policies. Ensure support staff
and Financial Advisors understand and follow all rules and regulations of the
regulatory agencies as well as Firm policy and procedure. Co-ordinate branch
examinations -- provide records and information requested by the examiner
Senior Assistant Operations Manager
Smith Barney (2000-2004)
Worked as a team with other staff members; serve as a positive role model. Assisted
staff and clients with operational/compliance questions. Acted as an operations manager
in the absence of the management team. Researched and problem solved using internal
systems, internet and a network of people. Traveled to Smith Barney branches and
assisted with operations when needed. Acted as a liaison between staff and Smith Barney
departments
Trade Representative
Freedom Investments (2000)
Opened new accounts and processed trades. Solicited business on existing
accounts. Organized and maintained new account files.
Trade Representative
Perelman-Carley and Associates (1999-2000)
Opened new accounts and processed trades. Solicited business on existing
accounts. Organized and maintained new account files.
Financial Consultant
Olde Discount (1998-1999)
Prospected for clients; advised clients on products and services. Opened
accounts; placed trades/executed transactions. Maintained computerized and
typewritten files.
Licenses held Currently hold series 3(inactive), 7, 9, 10, 55, 63, 65