401k Financial Associate resume example with 12+ years of experience

Jessica Claire
, , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
Home: (555) 432-1000 - Cell: - - -
Professional Summary

Highly motivated leader with over 13 years' experience of exceptional client service in a variety of customer centric roles. Seasoned decision maker equipped with the finesse to effectively communicate with an array of clients and associates with varied personalities and goals. Proven ability to work in a face paced, high stress, team environment easily, with an outstanding ability to multi-task successfully. Applies professional, courteous approach to lead team effectively and efficiently to meet organizational and personal goals while delighting clients.

  • Financial Documentation
  • Client Inquiries Management
  • Financial Transactions Management
  • Product Knowledge
  • Relationship Building
  • Investment Opportunity Identification
Work History
08/2021 to Current
Retirement Brokerage Services Associate Fidelity Investments City, STATE,
  • Surmounted average handle time goal by 52.83%
  • Exceeded transfer rate goal by 5.7%
  • Overcame yearly bonus goal by 3.2%
  • Captured tardiness goal of 100% supported by 1.5% over schedule adherence goal
  • Assist clients in opening accounts, gathering information about investment goals, timelines and strategies.
  • Use consultative approach to identify needs and position solutions for customers
  • Provide professional client customer service answering questions regarding money movement, order executions, settlement time frames
  • Initiate institutional transactions including but not limited to loans, withdrawals, rollovers, exchanges, stocks purchases/sales, stock splits, voluntary/mandatory reorganizations while explaining possible tax implications
  • Able to execute and educate on complex situations such as Roth in plan conversions, net unrealized appreciation, contribution recharacterizations
  • Comfortable with internal systems such as XTRAC, FPRS and FIBSI
  • Performed trading, ensuring all company policies and procedures were followed in fast paced, high stress environment
  • Cross-trained as HSA planner and trader
  • Able to explain triple tax benefits of HSA's in regard to client retirement goals
  • Provides investment education/resources for clients to make educated decisions
03/2021 to 08/2021
401K Financial Associate Company Name City, State,
  • Provide high quality client service across Participant Services by responding to phone inquiries, providing account and plan information from various information systems.
  • Process complex account requests including account openings, contributions, distributions (including QDRO), internal and external transfer requests, corrected tax forms, required minimum distribution calculations, and account closures for retirement 401K accounts.
  • Consistently meets or exceeds quality and productivity goals, while compliant with both government regulations and company policies.
  • Provide written and verbal investment performance, legal, regulatory and tax related information to participants.
  • Executes routine participant requests including loans, exchanges, contributions, fund changes, withdraws and terminations.
  • Identify routine participant needs with urgency, professionalism and efficiency.
  • Communicate with various areas of Institutional Investor Group division to enhance overall quality of workflow.
Expected in 2021
Fidelity - Covington, KY,
Expected in 2021
Fidelity - Covington, KY
Expected in 2021
Fidelity - Covington, KY,
Expected in
No Degree (Some College):
University of Cincinnati - Cincinnati, OH
Expected in 06/2007
High School Diploma:
Milford High School - Milford, OH,

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Resume Overview

School Attended

  • Fidelity
  • Fidelity
  • Fidelity
  • University of Cincinnati
  • Milford High School

Job Titles Held:

  • Retirement Brokerage Services Associate
  • 401K Financial Associate


  • FINRA 7
  • FINRA 66
  • SIE
  • No Degree (Some College)
  • High School Diploma

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