Client Relationship Manager

• Nov 2021 - Present

Advisor Advocate II

• Jan 2018 - Nov 2021

Broker Dealer team member responsible for providing advisor relationship advocacy and direct client support in all aspects of account maintenance and operations processing within a dual clearing firm environment.  Adhere to caller authentication security measures and information sharing practices and guidelines.  Take ownership of inquiries and concerns and follow through with research and timely resolution.  Collaborate regularly with peers, business units and National Financial and Pershing. LLC Specialists.  Interpret financial, legal and ancillary documents required for account set up and ongoing maintenance.  Research inquiries regarding distributions and contributions in qualified and nonqualified accounts.  Resolve status inquiries regarding, New Accounts, ACATs, Mutual Funds, Margin, Corporate Actions.  Assist with system navigation and brokerage account platform inquiries in Wealthscape and NetX360.  Participate in training sessions and remain current and knowledgeable of policy and procedure updates. Show less

Retirement Representative - Large/Mega Corp 401k

• Jul 2016 - 2017

Guide, educate, and build relationships with a diverse group of defined contribution plan participants actively enrolled in employer sponsored 401k plans of large corporations in a wide variety of industries.  Intuitively communicate with participants to identify retention and roll in opportunities.  Facilitate trades, fund transfers, loans, distributions, DCA, RMD, and asset allocations.  Teach participants how to access and navigate tools within their plan specific website.  Leverage website tools and resources ex: Morningstar, Yahoo Finance and IRS.Gov.  Utilize Salesforce.com CRM platform to create and share account activity and history. Show less

Compliance Advisor

• Sep 2014 - 2016

Responsible for evaluating and analyzing internal reports, metrics and periodic reviews of unit investment trusts and mutual fund trading activity of defined regions to identify and communicate irregularities, linkages and trends. Professionally address sensitive issues while monitoring branch personnel and registered employee activities for adherence to organizational and regulatory agency rules and industry disclosure requirements. Daily use of Supervisory Workstation to research and monitor and record exceptions for timely resolution. Identify, reverse and charge back commission and fees generated outside of SEC trading guidelines. Utilize independent judgment to interpret, translate and explain compliance policies and procedures. Escalate account activity or patterns outside of regulatory guidelines to senior management for review. Show less

Client Government Reporting - Ops. Specialist

• 2012 - 2014

Tax group associate responsible for daily review and reconciliation of IRS Tax and ADP Deposit figures in Excel and BETA system.  Daily, weekly and monthly review, reconciliation and posting of Federal Deposits.  Audit and review of client monthly statements. GL Suspense account daily review and reconciliation.  Researched and reviewed returned checks in IBPM via Rapid/RCHK or DIST requiring Void/Stop.  Resolved inquiries and explained calculations regarding UBTI - IRS notifications and fees to branch personnel requiring 990-T filings.  Processed IRS contribution and distribution corrections for accounts registered as IRA, Roth, Coverdell, SARSEP, Simple, QRP, 401K and 403B.  Performed BranchNet Audit and Tax review and QC of 1099-R, 1099-G, K-1, and 5498 forms. Show less