Experience

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  RBC Insurance US/Liberty Life

  • Greenville, SC

  • Customer Advocate/ Compliance

    • Sep 2006 - May 2011
    • Greenville, SC

    Home Office Coordinator to resolve all time-sensitive Regulatory Complaints, as well as escalated customer, media and legal complaints submitted to the US insurance subsidiary of Royal Bank of Canada. Company-wide liaison to direct case research, in order to edit and sign official letter responses as Designated Company Contact. Develops and maintains a legally-required Complaint Log database and a hard copy Complaints File. Prepares and presents scheduled and ad hoc Management reports, as well as periodic Regulatory statistical reports. Consolidated and improved the existing complaints database at minimal cost, and promoted it within corporate policy guidelines versus a costly proposed external system. This saved hundreds of thousands of dollars each year in subscription fees, conversion costs, and IT Support costs relative to the alternative system. Proactively streamlined the job function, trained others for backup, and reduced complaints by 25% during a critical period of high market visibility and record sales growth for the company. Company was recently sold and my job was eliminated by the new owners.In addition to job duties, recently earned four multi-course accredited LOMA Professional Designations with Honors, as well as formal Officer, Leadership and Public Speaking credentials as a Toastmaster.

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  IBM Insurance Outsourcing Services

  • Greenville, SC

  • Senior Customer Service Representative

    • Dec 2003 - Sep 2006
    • Greenville, SC

    Served several months off-site on two highly-diverse transition teams for remote client "lift and move" operations, to outsource complete policy administration services from client insurance firms for products requiring FINRA registered personnel. Applied varied clerical skill sets as needed. Returned to Home Office trained for a high-volume IBM Call Center environment, responsible for comprehensive telephone customer services within complex client SLAs and regulatory requirements. Made many approved suggestions resulting in streamlined processes. This in turn led to increased volume capacity and cost reductions.

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  MetLife/Wall Street Capitol

  • Greenville, SC

  • Financial Consultant

    • Jun 2002 - Dec 2003
    • Greenville, SC

    FINRA Series 6, 7, 63, 65. Member of a select Wealth Management, Trust, and Estate Planning Team (a CLU, an Estate Attorney & a Securities Representative). Prepared, presented and sold comprehensive written cases for business and High Net Worth clients. Participated monthly as the Sponsor Firm and Anchor Vendor for a large (300+ guests per month) financial trade show--The Wall Street Capitol Breakfast Club at Carolina First Convention Center.

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  A G Edwards & Sons, Inc.

  • Greenville, SC

  • Financial Consultant

    • 1998 - 2001
    • Greenville, SC

    NYSE Registered Representative and Multi-State Insurance Agent. Received Putnam and Kemper Annuity Sales Awards. Secured $14mm in Assets Under Management within two years. Spotless compliance record within the highly-regulated Financial Services industry.

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  Merrill Lynch

  • Toms River, NJ

  • Financial Consultant

    • 1976 - 1998
    • Toms River, NJ

    NYSE Registered Representative and Multi-State Insurance Agent. NASD/FINRA Series 6, 7, 63, 65. Numerous Product Sales Awards and Trips. $59mm in Assets under management. Served as Assistant Branch Manager in 1992. Chairman's Club, 1994. Mentored Interns and Trainees. Spotless compliance record within the highly-regulated Financial Services industry.