Retirement Plan Specialist resume example with 13+ years of experience

Jessica Claire
Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
Home: (555) 432-1000 - Cell: - - -

Accomplished, achievement-driven FINRA licensed representative in the financial service industry. Eager to learn new skills, take on challenges, and also willing to complete any education / licensing examinations necessary for career growth and advancement. Excels in gathering client information, analyzing data, effectively communicating direction and convey complex information in a clear concise manner. Proficient in having consultative conversations, educating clients on the importance of making the best decision for themselves. Work well in cross-functional teams to achieve goals. Value is added by maximizing productivity through detailed analysis as well as in process improvements. Online background verification report available for review.

  • FINRA Series 7 License
  • NASAA Series 66 License  
  • Microsoft Office AWD WAVE Lotus Notes Word Excel Outlook Adobe Acrobat Point Of Sale Siebel Systems PowerPoint Workday Citrix
  • Project management 
  • Communications audits
  • Account reconciliations
  • Customer relations
  • Polished communication skills
  • Business performance improvement
  • Process implementation
  • Staff leadership and development
  • Sales expertise
  • Retirement Investment Planning 
09/2016 to Current
Retirement Plan Specialist First Bank And Trust Wyoming, WY,
  • Use a consultative approach to identify needs and position solutions for our participants
  • Resolve participant issues by leveraging technology and business experts within Schwab to identify efficient and effective methods to meet participant goals
  • Position solutions to participants which align to their goals
  • Initiates all institutional transactions for participants including loans, withdrawals, exchanges, allocations, paycheck deductions, rollovers, hardship transactions, enrollments and terminations
  • Communicated regularly with Clients regarding portfolio performance. Interpreted data on price, yield, stability, future investment-risk trends, economic influences and other factors affecting investment programs.
  • Reviewed clients' accounts regularly to determine whether life changes, economic developments or financial performance indicated a need for plan revision.
06/2016 to 09/2016
Retail Client Account Specialist Bank Of America Corporation Laguna Beach, CA,
  • Responsible for processing a broad variety of retail client requests.
  • Exercise a thorough understanding of departmental policies and procedures and knowledge of internal systems.
  • Exhibit quality and efficient work to meet and exceed department standards.
  • Demonstrates a logical and systematic approach to problem solving.
  • Focusing on client expectations and improving effectiveness and efficiency of operations.
  • Communicates both verbally and in written format with clients to clarify incomplete or invalid paperwork.
  • Maintains effective work relationships by handling peer and management interactions in a positive and cooperative manner.
  • Builds productive working relationships across the organization with a focus on creating client-driven solutions.
11/2015 to 04/2016
Investment Specialist Trainee Tutera Senior Living Carlinville, IL,
  • Responsible for studying and passing required General Securities (Series 7) and Uniform Securities Act (Series 63) required licenses.
  • Attend training classes to learn and become more proficient with the various software and platforms utilized by Merrill Edge.
  • Go through a period of nesting before becoming live.
08/2014 to 11/2015
Retail Data Reconciliation Associate Home Depot Appleton, WI,
  • Responsible for managing and clearing the department maintenance queue on a daily basis.
  • Repair any client profiles that may cause the client difficulty accessing their profile.
  • Update and confirm account permissions on client trust, retirement, estate accounts.
  • Works together with business partners to find solutions for specific concerns that may not permit the client to access their account.
  • Find and fix data discrepancies between the different software utilized to interact with the client accounts

Portfolio Implementation Associate.

  • Executes, and monitors, the implementation of client portfolios and performs the transaction on accounts underneath the direction of financial advisors.
  • Partners with Financial Advisors, Resolution Services, and other business groups/departments to provide appropriate recovery.
  • Manages different queues through various software utilized throughout the department.
  • Proactively communicates with team leaders and team members to provide feedback on the quality and efficiency of operational processes -Special Projects: -Vanguard Financial Plan Link Deactivation -Personal Advisor Service clients Admiral Shares Conversions Initiative.
01/2014 to 08/2014
Customer Service Agent (Tier 1 Agent) Teletech/ Hyundai Motor America City, STATE,
  • ​Responsible for assisting customers and dealerships with multiple concerns.
  • Proactively ensures the comfort and satisfaction of customers.
  • Exemplify and maintain outstanding customer service with escalated calls and concerns.
  • Document all activity regarding each interaction with customers and dealerships correctly and efficiently.
  • Interact with a wide variety of people ranging across the country

Case Manager (Tier 2 Agent)

  • Assist Hyundai Motor America (HMA) in making business decisions.
  • Responsible for handling escalated calls.
  • Responsible for directing cases to appropriate departments within Hyundai Motor America.
  • Assist in the operation and completion of specific special projects.
  • Assist with coaching on the proper protocols and procedures in Tier 1 Case Handling.

Quality Assurance Specialist

  • Responsible for quality control by scoring agents calls according to company standards. Responsible for providing and conducting coaching opportunities for assigned agents. 
  • Participate in weekly calibration calls to ensure collective team accuracy. 
  • Assist and participate in upcoming projects, launches, or training and in the completion and revision of process documents/ and curriculum development.
  • Initiated the integration of Quality Assurance into New Hire training classes. 
  • Trainer for new employees working from home. 
  • Responsible for revising the process and procedure documents for department operations.
06/2013 to 2014
General Manager/Marketing Coordinator Nutrishop/Global Nutrition City, STATE,
  • Customer service.
  • Responsible for the store's upkeep.
  • Talent Management, responsible for hiring highly qualified employees.
  • Facilitated promotions and health & wellness expos within our community.
  • Lead store training classes.
  • Initiated and use various marketing tools such as social media, email correspondence, and outbound phone calls to increase customer volume.
  • Facilitated communication to multiple distributors for introducing new products into the store.
  • Responsible for all inventory and product placement.
01/2012 to 06/2013
Membership Councilor 24 Hour Fitness City, STATE,
  • Communicated with potential members regarding the amenities offered.
  • Responsible for communicating with members to determine their fitness goals.
  • Provided assistance with membership financial activity including bill pay, upgrades and cancellations.
  • Maintained processes to improve operating efficiencies.
  • Conducted equipment diagnostics for operational use and member safety.
  • Implemented procedures for a more thorough and sanitized gym experience.
  • Prompt and direct follow up with customers via phone and email correspondence regarding specific price and facility updates.
  • Demonstrated commitment by calling new members thanking them for their business.
  • Direct contact for customers regarding inquiries about the gym and fitness.
11/2011 to 06/2012
Security Noble Business Solutions/ The Venetian Anaheim , STATE,
  • Provided security for guests and employees.
  • Assisted with security check for entry, checked identification and enforced proper dress code.
  • Monitored employee progress throughout the shift.
  • Provided customer service through interaction with guests and employees.
12/2006 to 07/2010
Custody Assistant Los Angeles County Sheriff's Department City, STATE,
  • Supervised and managed group programs for individuals that required special needs or had specific illnesses and medical conditions.
  • Recorded and maintained an accurate count of inmates within designated areas.
  • Provided a safe and secure environment for civilian and personnel within the facility.
  • Assisted Deputies with emergency situations.
  • Supervised inmates with their daily living per Title 15 requirements which include: meals, shower, visitation and recreation time.
10/2005 to 10/2006
Customer Service/Sales Associate Staples Office Supply City, STATE,
  • Assisted customers with questions and information on store products.
  • Responsible for building, installing and the merchandising displays.
  • Assisted with store maintenance.
  • Responsible for making monthly sales quotas.
  • Assisted with customer sales and of product protection plans.
Education and Training
Expected in June 2005
Calvary Chapel High School - Downey, CA

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Resume Overview

School Attended

  • Calvary Chapel High School

Job Titles Held:

  • Retirement Plan Specialist
  • Retail Client Account Specialist
  • Investment Specialist Trainee
  • Retail Data Reconciliation Associate
  • Customer Service Agent (Tier 1 Agent)
  • General Manager/Marketing Coordinator
  • Membership Councilor
  • Security
  • Custody Assistant
  • Customer Service/Sales Associate


  • Diploma

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