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Yyyyyy x. yyyyyy



2045 Haydenbrook Dr. NW | Acworth, GA 3010xxx-xxx-xxxx |


Driven, customer-focused and highly talented Financial Services Professional with years of proven experience in various areas client services capacities within the finance sector. Able to align personal goals with organizational objectives in order to achieve success. Call on strong attention to detail in operating within governing policies and procedures respective frameworks. Skilled in promoting a positive company image rooted in loyalty and commitment. Adept in thriving within a team environment or independently. In pursuance of a Registered Client Associate or Sales Assistant opportunity that will allow for leverage of current skills and deliver opportunities to provide first-class customer service to a diverse client base.


Core Competencies

Service Delivery | Wealth Management | Communication | Relationship Building | Client Satisfaction | Critical Thinking | Leadership Analytical Skills | Problem Solving | Cross-Functional Teamwork | Stakeholder Engagement | Organization | Time Management





Client Specialist 2017

  On-boarded to oversee Wealth Management Division functions; delivered administrative and operational support for 10 Client Advisors on the Managed Investment Account Platform

  Aided in all aspects of recruiting clients and maintaining their respective accounts; reviewed all new account documentation via Sawtooth to confirm completeness and accuracy

  Tracked relationships at all stages from prospect/lead through to completion of booked business

  Worked with clients to assist with online account access setup and usage inquiries as needed

  Replied to informational requests from accounting partners during tax season; provided forms to Auditors and Examiners

  Served as an effective intermediary between Client Advisors and the back office

o    Relied to general inquiries and resolve technical issues; offered Advisors market updates from Investment Managers as well

o    Engaged actively in important meetings to master new procedures and share knowledge with Client Advisors

  Partnered with Trust Officers to deliver support during Trust Account opening processes

  Manually prepared client account documents that required special handling independent of electronic processes

  Liaised with branches to transition funds between bank and Managed Investment accounts; submitted all transferal paperwork

  Submitted investment instructions for account allocation to review for accuracy; reviewed accounts that were 70% funded

  Processed ACH transfers, checks and federal wire transfers; also set up fee billing processes as well

  Prepared client correspondence and reports including presentations and proposals; kept hard copy and electronic files

  Crafted weekly production and monthly referrals spreadsheets, for use during Trust Committee Meetings

  Efficaciously reviewed and updated documents using new branding standards

  Used numerous systems daily including AS400, Global Office, Investorsview, ORION, Salesforce and Microsoft Office



Registered Client Service Analyst - Training Coordinator

Council Member and Coach Fitness Center 2012-2015

  Nominated to serve in mentoring roles as a legacy Lehman employee; unofficially served in that capacity since 2008 due to expertise, background and skill in mastering new concept and sharing data with the utmost in confidentiality

  Partook in off-site and web-based training, as well as telephone and video conferences geared towards learning new products and services in which to train colleagues within the branch

  Named Training Coordinator due to acumen as it pertained to both Lehman and Barclays processes; educated new teams including IRs and CSAs during their on-boarding processes

  Trained individuals and groups on proprietary products and website, as well as wire transfers, ACATS, checks, journals, reporting and account opening using training schedules that fit the specific business model of teams

  Succeeded in opening hundreds of accounts for new teams in addition to delivering comprehensive trainings

  Guided new CSAs continually while offering consistent support to IRs; also served on the CSA Council to note areas of weakness, disperse information and gather policy feedback

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  Worked closely with IR Council members to resolve issues and collectively create training materials

  Acted as a CSA Coach and trainer; developed quick reference guides and shared content regarding new policies and releases

  Also offered holistic, useful guidance on where to obtain internal sites information

  Served as the foremost contact for sales teams during its conversion to utilizing the Pershing, LLC Netx360 platform

o    Participated in onsite Pershing training before the conversion and used feedback to finalize the sales force s related training

o    Served as a subject matter expert (SME) during the company s conversion due to knowledge gleaned from working as a former Account Manager at Pershing, LLC


Registered Client Service Analyst 2006-2015

  Offered administrative and operational support for Investment Representatives; supervised the team daily thus allowing IRs to focus on winning new AUM

  Initiated client contact within a diverse customer base comprised of high-net-worth individuals, family offices and foundations

  Completed intricate compliance projects as directed, both independently and as part of a group effort

  Entered trades and provided quotes; also generated performance reports, authored client documents, tracked commissions/fees, tracked/allocated syndicate deals, as well as updated all client/prospect files and database entries

  Liaised with Compliance, Operations, New Accounts, Product Specialists and Trading staff to encourage seamless customer service delivery focused on swiftly fulfilling client needs

  Opened all new accounts in an efficient and timely fashion

  Proactively identified issues and took corrective actions to research and resolve all concerns thus minimizing errors

  Processed wire transfers, ACATS, checks and journals; adjusted entries for the latter as needed

  Tracked commissions and fees with total accuracy and attention to detail

  Called on the use of Charles River to monitor and rebalance accounts in the Discretionary IAR Program

  Took appropriate action as it relates to trading, margins and processing by reviewing all daily activity to help decide which issues to prioritize in order of importance



Registered Sales Assistant 2004-2006

  Opened new accounts in an efficient and timely manner

  Prepared client correspondence and documents

  Maintained prospect and client databases, as well as all client files with precision and accuracy

  Inputted trades, provided quotes, as well as tracked and allocated syndicate deals

  Headed all facets of the restricted stock process

  Processed wire transfers, checks and journals

  Devised performance reports; reviewed each and took appropriate action for trading, margin and processing

  Completed compliance projects as assigned


Also worked as an Assistant Vice President Global Customers/Account Manager with Pershing, LLC and as an Account Representative-Prime Brokerage with Morgan Stanley Dean Witter


Education & Credentials


Bachelor of Science, Accounting, Brooklyn College

Licenses, Series 7, 63 and 66


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