1. JOSEPH A. SLECHTA
14825 Omicron Dr.
San Antonio, TX 78245
(210) 238-8176
slechtajoseph@yahoo.com
SUMMARY
Financial services professional with considerable experience in supervising, coaching and leading a team
of licensed 9/10 supervisors. Successful in transitioning from supervising a team of supervisors
responsible for 150 financial advisors, 35 support staff with over 100 million in revenue to accountability
for the firm wide stress test and concentrated position with margin reports. I also led the National Investor
Center transition from the Smith Barney platform to the Pershing platform in 2011. Broad accountability
and success in the areas of risk management, compliance and internal/external examinations. A
supervisor with the experience in communicating with all levels of management with confidence and the
ability to deliver outstanding results. A subject matter expert in several areas of risk management who
has assumed increasing levels of responsibility and authority. All internal examinations were in
compliance with firm guidelines.
PROFESSIONAL EXPERIENCE
Risk Supervisory Officer
CITI PERSONAL WEALTH MANAGEMENT (2015-Present)
Main functions include direct responsibility for the firm wide stress test, uncovered options and
concentrated positions with margin report. Manage the day to day supervision of 3 supervisory
principals and support staff. Coaching staff to engage a proactive approach to risk management
in daily activities whose overall responsibilities include client contacts, blotter reviews, daily and
monthly account risk alerts, mutual fund compliance reviews, complaints, trade errors/corrections,
suitability, patriot act compliance and concentration reports. Responsible for handling HR issues
including internal complaints, annual reviews, interviewing, hiring, salary reviews, coaching and
termination of the supervisory and support staff. Ensure procedures are in compliance with
regulatory agency rules and firm policies.
Senior Supervisory Principal-Western Division
CITI PERSONAL WEALTH MANAGEMENT (2008-2015)
Managed the day to day supervision of 10 supervisory principals and two support staff. Main
functions included coaching staff to engage a proactive approach to risk management in daily
activities whose overall responsibilities include client contacts, blotter reviews, daily and monthly
account risk alerts, mutual fund compliance reviews, complaints, trade errors/corrections,
suitability, patriot act compliance and concentration reports. Responsible for handling HR issues
including internal complaints, annual reviews, interviewing, hiring, salary reviews, coaching and
termination of the supervisory and support staff. Ensure procedures are in compliance with
regulatory agency rules and firm policies.
Group Administrator
CITI SMITH BARNEY (2008)
Managed and regulated workflow for a team of 5 advisors and 4 support staff. Coordinated
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 problem
solving resource for the team.

2. Operations Manager
CITI SMITH BARNEY (2004-2008)
Managed the day to day operations of 20 advisors and 7 support staff with annual revenues of
over 15 million. Processed all daily operational and compliance requests including fund
movements, trade approvals, trade blotter/correction reviews, review 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 of regulatory agencies as well as firm policies. Co-ordinate external and
branch examinations-provide records and information requested by the examiner.
Senior Assistant Operations Manager
CITI SMITH BARNEY (2000-2004)
Worked as a team lead for the staff and served as a positive role model. Assisted staff and
clients with operational and compliance questions. Acted as an operations manager in the
absence of the operations manager. Researched and problem solved using internal systems, the
internet and a network of contacts. Traveled to Smith Barney branches and assisted as an
operations manager 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. Maintained computerized and typewritten files.
Education
B.S., University of Nebraska at Kearney, 1997. Comprehensive Business Administration with an
emphasis in Finance
Licenses Held Currently
Series 7, 9, 10, 55, 63, 65. Series 3 is currently inactive