INVESTMENT BANKING INDUSTRY PROFESSIONAL Client Service / Trading Operations / Reporting / Sales Assistance An independent and self motivated professional with over 7 years of administrative experience. Dedicated and focused; able to prioritized and multitask to achieve goals. Exceptional organizational and customer service skills. Proven ability to initiate appropriate action, follow instructions and carry out tasks in an efficient manner.
Microsoft Word, Excel, PowerPoint, Outlook, EZ Forms, Contact Manager, Morcom, and Workstation.
Chase Private Client Investment Assistant March 2012 to CurrentJ.P. Morgan Securities － New York, NY
Fielding and responding to client inquires, gathering and researching client data, ensuring courteous and professional follow-up, owning issues start to finish.
Providing daily administrative support (i.e.
answering phones, filing, faxing, etc) Coordinating client meetings and preparing client presentations Manage account opening process for new and existing clients.
Includes collection of account specific information, recording information via EZ Forms.
Supporting Advisor(s) daily through a variety of tasks including, but not limited to, account opening process, performing maintenance requests, gathering statements, and completing documentation.
Facilitate accurate and timely account setup, money movement and investment trades.
Registered Support Assistant May 2010 to March 2012Ameriprise Financial Services Inc － New York, NY
Provides licensed practice and operational support for three Financial Advisors and administrative support for two Financial Advisors.
Prepare domestic accounts for individuals, 529 Advisor Plans, estates, and Trust accounts Run hypotheticals, illustration and re-projections (i.e.
Morningstar, PMT, etc) to assist advisor in preparation for client meetings Serve as client's main point of contact which enabled the Financial Advisors to be better focused on asset gathering and revenue generating opportunities Assisted with the on-boarding of Experience Advisor Recruits, with opening new accounts, processing transfers, documentation requirements, and broker dealer change for Annuities, and Insurance.
Administer client request to disburse checks, Journals, ACH, RMD, ACATS, and income distribution Maintain and process Financial Advisors' travel & expense reimbursements, Securities registrations and Insurance licenses Assist advisors with compliance requirements by sending and filing all CSU documents via fax or online file manager Coordinate marketing events for advisor, including contact with vendors, negotiating cost, creating invitations and getting marketing approval, handlings RSVP's and final headcount.
Registered Client Service Associate January 2007 to January 2009UBS Financial Services － Atlanta, GA
Manage a team of two Financial Advisors' business by interfacing with external clients, solving their problems and ensuring that appropriate follow-up action is taken.
Manage general account inquiries and maintenance, including but not limited to: transactions, holdings, balance, address changes and signer changes Work with minimal direction, and exercise independent judgment and discretion, freeing up the FA's time to expand their client base.
Serviced client needs and assisted them with all UBS Financial Services products including Retirement Accounts, Trading, Checking, EFT, ACH, Lending, Managed Accounts, Trust and Estate Accounts, ACATS.
Respond to client inquiries, complaints, and determine which issues require immediate elevation to the Financial Advisor (FA) or a member of the branch management team Serve as the main point of contact for all service related needs of a Private Wealth Management client.
Financial Advisor Assistant January 1999 to January 2007JP Morgan Chase － New York, NY
Responded to client inquiries, minor complaints, and determined which issue required immediate elevation to the financial Advisor or a member of branch management.
Established New Brokerage Accounts via EZforms, NY 529 Plans, and Insurance Plans.
Researched account inquires and or problems.
Established and maintained files to meet with compliance.
Provided various functions for the Financial Advisors and the Investment Area Manager, created spreadsheets, memoranda and reports.
Monitored Financial Advisors and Sales Assistant operational issues.
Provided backup coverage for the Operations Manager.
Delegated leads to the Financial Advisors for the 401K distribution program.
Updated the year over year revenue, and Annual Revenue report Processed new hire notification paperwork, and Interns Worked with Financial Advisors, organizing and securing client files for compliance, and auditing purposes.
Remained current on all new procedures and applications to support the Financial Advisors.
Initiated IRA distributions, Account Transfers, check requests, wires, journals, and processed Stock Certificates.
AAS : Computer Operations, 2004Borough of Manhattan Community College － Manhattan, NYComputer Operations
BBA : Business Administration FinanceLehman College － Bronx, NYBusiness Administration Finance Not completed
Professional License: FINRA Series 7, 63, & 65 License NY Accident Life & Health Insurance License