Mario Arteaga
Sacramento
Summary
Results-driven investment operations professional with strong experience in transaction review, regulatory compliance, and operational controls. Experienced in processing investment transactions, validating account instructions, resolving exceptions, and delivering accurate, timely solutions within a highly regulated financial environment.
Overview
1
1
Certification
6
6
years of professional experience
Work History
Client Associate Retirement & Investment Operation
Vanguard
Scottsdale
08.2025 - Current
- Supported end-to-end retirement and brokerage account operations, including rollovers, Roth conversions, RMDs, wire transfers, and account maintenance, while identifying and escalating discrepancies to enhance operational efficiency.
- Processed and validated complex investment transactions, including mutual fund, ETF, and equity activity, ensuring accuracy of account instructions and compliance with regulatory requirements in a highly controlled financial environment.
- Applied strong risk and control practices by reviewing documentation, verifying transaction requirements, and collaborating with internal teams to resolve operational exceptions and deliver timely solutions.
Realtor
HomeSmart
Goodyear
12.2020 - Current
- Conducted market analysis to advise clients on pricing and investment opportunities.
- Maintained up-to-date knowledge of local real estate trends and regulations.
- Coordinated with lenders, inspectors, and appraisers throughout transaction processes.
Teller
Desert Financial Credit Union
Goodyear
01.2024 - 07.2025
- Processed customer transactions efficiently and accurately in a fast-paced environment.
- Maintained knowledge of bank policies to ensure adherence during transactions.
- Balanced cash drawer daily, ensuring accurate financial records and compliance.
Education
Bachelor's of Applied Science - Operations Management
Arizona State University
Tempe, AZ05-2027
Associate of Applied Science - General Business
Maricopa Community Colleges, Rio Salado Community College
Tempe, AZ05-2025
Skills
- Transaction validation
- Investment Operations
- Security processing operations
- Asset transfer processing
- Regulatory compliance
- Risk management
- Investment Management Software
- Problem resolution
Certification
- FINRA Series 7
- FINRA Series 63
- Securities Industry Essentials (SIE)
Timeline
Client Associate Retirement & Investment Operation
Vanguard
08.2025 - Current
Teller
Desert Financial Credit Union
01.2024 - 07.2025
Realtor
HomeSmart
12.2020 - Current
Bachelor's of Applied Science - Operations Management
Arizona State University
Associate of Applied Science - General Business
Maricopa Community Colleges, Rio Salado Community College