Joshua Ziegel
San Diego
Summary
Personable finance professional with over three years of experience in operations and client support, specializing in advisor transitions, regulatory compliance, and onboarding efficiency. Exceptional verbal and written communication skills foster strong relationships with clients and colleagues. Comprehensive knowledge of various account types, products, and services within the financial sector. Eager to contribute to a dynamic organization where expertise enhances operational effectiveness and drives value in financial departments.
Overview
9
9
years of professional experience
Work History
New Accounts Associate
Commonwealth Financial Network
01.2026 - Current
- Collaborate with financial advisors to streamline account management processes and enhance client satisfaction.
- Facilitate onboarding paperwork overview, including client household setup in system.
- Collaborate with team to finalize account closures, verify mailing addresses, while also following up on buy/sell orders for advisors.
Account Supervision Associate, Operations Team
Commonwealth Financial Network
01.2023 - 01.2026
- Collaborated with current and transitioning advisors to facilitate seamless business transfers, working closely with advisors, custodians, and sponsor companies nationwide.
- Ensured compliance and accuracy of paperwork, advisor appointments, and licensing requirements, coordinating with relevant departments to resolve discrepancies.
- Provided operational support to streamline advisor onboarding and account compliance processes.
- Managed a phone queue and routinely joined in Microsoft Teams calls, while working in a hybrid setting.
- Started dual role with New Accounts team, tasks include opening new accounts and overlooking compliance paperwork.
- Delivered exceptional service to advisors by acting as a liaison between internal teams and external stakeholders.
- New adds:
- Been working with the New accounts team, updating addresses and overseeing compliance ppw.
- Work with marketing team in their space – marketing collaborator in
- Helping set up new accounts
Financial Planner Mentorship
Successful Retirement Solutions
01.2021 - 01.2022
- Assisted managing partners in analyzing client financial situations to develop personalized financial plans.
- Prepared and processed client documentation, including new account setups and rollover paperwork.
- Gained hands-on experience with annuities, supporting the full sales cycle and client consultations.
- Contributed to trust and will set up for clients, ensuring accuracy and client satisfaction.
- Participated in new client onboarding and review meetings to enhance customer service delivery.
- Designed and executed advertising campaigns to attract prospective clients.
Data Analyst (Summer Internships)
Survival Systems International (SSI)
06.2017 - 08.2020
- Partnered with Engineering and Manufacturing teams to update Bills of Materials and Workflow Operations.
- Performed data entry and information review within their corporate ERP system (Syteline by Infor).
- Generated reports using MS Excel and Adobe PDF outputs to support operational efficiency.
Education
Bachelor of Science - Business Administration, Major: Finance
San Diego State University, Fowler School of Business
05-2023
Skills
- Technical Skills: Salesforce, MS Office (Excel, Access, OneNote, Word, PP), Tableau, Bloomberg Terminal (Certified April 2023), Adobe Premiere CS6
- Soft Skills: Team collaboration, customer service, adaptability, professional growth focus
- Goal oriented, Financially literate, Active listening, Maintaining confidentiality
- Series SIE obtained; Pursued my Series 7 prior to relocation
- Avid Soccer Place (youth, high school, SDSU)
- Enthusiast of surfing, golfing, and beach activities
Timeline
New Accounts Associate
Commonwealth Financial Network
01.2026 - Current
Account Supervision Associate, Operations Team
Commonwealth Financial Network
01.2023 - 01.2026
Financial Planner Mentorship
Successful Retirement Solutions
01.2021 - 01.2022
Data Analyst (Summer Internships)
Survival Systems International (SSI)
06.2017 - 08.2020
Bachelor of Science - Business Administration, Major: Finance
San Diego State University, Fowler School of Business