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Investment Service Specialist -Retirement Services Resume Example

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INVESTMENT SERVICE SPECIALIST -RETIREMENT SERVICES
Summary
To become associated with a company where I can utilize and grow my skill set while enhancing the company's productivity and reputation.
Experience
11/2016 - Current
JPMorgan Chase － Tampa, FLInvestment Service Specialist -Retirement Services
  • Responsible for accurately reviewing incoming customer requests for processing Trustee Transfers from IRA accounts to other institutions.
  • Write correspondence to the contra firm and client when items are not in good order.
  • Cross trained for Document Support including opening, sorting, and scanning incoming mail.
  • Work in multiple systems concurrently in a windows environment.
  • In-depth understanding of Individual Retirement Accounts and IRS guidelines.
  • Recognize my peers for their contributions to the department though the Employee Recognition Program.
  • Assisted management with department functions including lunch and birthday celebrations.
10/2014 - 01/2017
Mark Wilson State Farm － Temple Terrace, FLLicensed Customer Service Representative/Receptionist
  • First point of contact for all customers, phone or in office.
  • Perform vehicle inspections.
  • Process policyholder payments.
  • Process policy changes and answer general inquiries from insureds regarding billing and/or coverages.
  • General office duties to include answering incoming calls on a multi-line phone, fielding client questions or concerns and transferring calls to the appropriate agent, handling mail, maintaining cleanliness and organization of office space, ordering office supplies, scanning documents and filing.
  • Responsible for compiling and making daily bank deposit.
  • State Farm Bank Certified to market State Farm Bank products to customers.
01/2013 - 08/2013
StanCorp Investment Advisors － Tampa, FLSr. Securities Assistant
  • Process client on-boarding activities including input into CRM, opening of new accounts with custodians, set up and maintenance of client accounts in portfolio management system.
  • Complete client terminations including closing accounts and final billings.
  • Process client changes as directed by the Financial Planning Associate and/or Sr.
  • Investment Counselors.
  • Schedule client meetings for Sr.
  • Investment Counselor including recording in CRM system, reminder calls to clients prior to meeting, greet clients if the meeting is in the office.
  • Complete quarterly reports and billing for Sr.
  • Investment Counselor using PortfolioCenter, including uploading of fees to custodians, completing home office journals to record revenue and payment received.
  • General office duties including answering phone, handling mail, maintaining office supplies, assisting with event invitations and other client communications.
08/2011 - 12/2012
Morgan Stanley Smith Barney-Client Advisory Center － Tampa, FLService Associate
  • Work closely with Client Advisory Center teams, and internal departments to provide support through various systems, and applications as well as process paperwork in a virtual branch environment.
  • Work with clients to resolve issues encountered during service request processing.
  • Work on projects and/or remediation efforts outlined by the company.
  • Process & follow up on phone team support and client service requests to ensure completion in a timely manner.
  • Ability to handle a high volume of requests in a fast paced environment.
  • Provide world class customer service to both internal, and external clients in all interactions.
  • Apply Firm verification policies for all clients to avoid identity theft and fraudulent activity.
  • Keep current on SEC/FINRA, Compliance and Firm guidelines and apply to processing and all interactions to ensure risk mitigation.
  • Participate in projects and/or remediation efforts as needed including pilot programs.
01/1999 - 01/2011
T. Rowe Price － Colorado Springs Tampa, CO FLRetail Account Manager
  • Participant Service Center Representative/E-mail correspondent Set up individual, joint tenant, custodial, trust, estate, business, and non-fiduciary accounts for clients of a large national financial services corporation.
  • Analyzed and prioritized issues, verified records, corrected account discrepancies, and developed and implemented operational procedures.
  • Compiled and verified required legal documentation.
  • Ensured consistent work quality, attention to detail, flexibility, problem solving innovation, & timely customer service.
  • Worked on a team of 12 to service up to 12,000 accounts monthly.
  • Set up 30 new accounts daily and placed 30 outbound account follow-up calls monthly.
  • Provided investment options, plan details, and account information to existing and potential retirement and college savings plan clients.
  • Processed investment mix allocation changes, exchanges, loans, salary deferral changes, and pre-authorized withdrawals.
  • Researched accounts, verified accuracy, and communicated analyses with customers.
  • Served as SME and backup associate for the open enrollment and 401K meeting team.
  • Established accurate and effective operational procedures and ensured timely, accurate response to IRA & college savings plan participant e-mail queries and concerns.
  • Updated training guide curriculum and provided continuing education for employees Trained and mentored Participant Service Center hires on procedures, & methodology.
Education and Training
1995
Nazarene Bible CollegeColorado Springs, COB.A
Additional Information
  • AWARDS Winner of the Significant Achievement Award, 2001, 2007; Outstanding Achievement Award, 2002, 2010; Service Excellence Award, 2003; T. Rowe Price, Colorado Springs, CO and Tampa, FL.
Skills
PCs, peripherals; Windows 7; Microsoft Office (Word, Excel, PowerPoint), Photoshop, Acrobat, Outlook, Internet and e-mail proficient AWD, DST, Vantage (proprietary client management database), TA2000 (proprietary account processing software), Junxure, Salesforce, Schwab PortfolioCenter, Lawson, ABS (proprietary client management database), CAMS & Customer Assist (proprietary client management databases) Host (DOS based mainframe system)
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Resume Overview

Companies Worked For:

  • JPMorgan Chase
  • Mark Wilson State Farm
  • StanCorp Investment Advisors
  • Morgan Stanley Smith Barney-Client Advisory Center
  • T. Rowe Price

School Attended

  • Nazarene Bible College

Job Titles Held:

  • Investment Service Specialist -Retirement Services
  • Licensed Customer Service Representative/Receptionist
  • Sr. Securities Assistant
  • Service Associate
  • Retail Account Manager

Degrees

  • B.A

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