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Jewelquelle Ballinger

@jewelquelleballinger

Message

Operational partner with expertise in compliance and client service.

United States

Message

What I'm looking for

I seek a role that values collaboration, compliance, and client service excellence.

I am an experienced operational partner with a strong background in compliance and client service. My career has been defined by my ability to lead complex, time-sensitive initiatives across brokerage, risk, and regulated account operations. I pride myself on my solutions-first approach, which allows me to execute effectively under pressure while optimizing workflows and improving systems.

Throughout my professional journey, I have collaborated with various departments, including legal, trading, finance, and service, to deliver results that withstand scrutiny. My experience spans roles at First Command Financial Services, Wells Fargo Advisors, and TD Ameritrade, where I have honed my skills in managing high-pressure equity trades, maintaining operational accuracy, and enhancing interdepartmental collaboration. I am dedicated to protecting clients and ensuring compliance with regulatory standards, particularly in sensitive cases involving elder clients.

Experience

Work history, roles, and key accomplishments

Current

Brokerage Operations Analyst

Current

First Command Financial Services

Jan 2024 - Present (1 year 11 months)

Maintained operational accuracy in high-volume transactions and retirement account management while improving interdepartmental collaboration. Administered updates to client retirement accounts, including Roth conversions and recharacterizations.

Roth Conversions Risk Management Financial Platforms Salesforce CRM Regulatory Reporting

Associate Equity Trading Liaison

Wells Fargo Advisors, Equity Trading

Jan 2022 - Present (3 years 11 months)

Managed trade execution for equity transactions across advisor networks, during volatile market conditions. Delivered precise trade support and training to financial advisors, minimizing regulatory risk.

Equity Trading Regulatory Compliance Market Activity Reporting Trade Execution Trade Halt Communications Financial Platforms Salesforce CRM

Licensed Financial Services Representative

TD Ameritrade

Jan 2020 - Present (5 years 11 months)

Managed high-value client relationships and resolved escalated service and trading issues across multiple platforms. Advised high-net-worth clients on account actions and trade workflows, supporting portfolios exceeding $1M while aligning with SEC and FINRA standards.

Client Relationship Management Trading Support Account Management FINRA Financial Platforms Salesforce CRM Risk Analysis

Elder Client Initiatives Team

Wells Fargo Advisors

Jan 2019 - Present (6 years 11 months)

Focused on risk management, account oversight, and sensitive case communication across compliance and legal. Protected elder clients from financial exploitation and coordinated with regulatory bodies.

Risk Management Compliance Fraud Prevention

Education

Degrees, certifications, and relevant coursework

University of Missouri - St. Louis

B.S. Degree, Psychology

Studied the fundamentals of psychology, gaining insights into human behavior and cognitive processes. Developed strong analytical and research skills applicable to various professional fields.