- Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
- (555) 432-1000
- resumesample@example.com
- Date of Birth:
- India:
- single:
Over 7 years of experience in operations and customer service environment as a highly professional service specialist. Versed in moderate to heavy branch interactions via written and verbal communication. Several years of brokerage operations experience including over 3 years of call center environment experience. Over 4 years of Individual Retirement Account (IRA) experience. Proven record of working independently, proactively, innovatively, and creatively while exercising sound judgment. Several years of both Beta and Hogan experience.
- Acted as subject matter expert in several asset movement functions within department.
- Trained all new hire associates including call shadow training.
- Promoted to Senior Associate at Wells Fargo Advisors.
- Consistently received excellence first awards for exceptional customer service recognition, performance standards, and ability to work well with the other team members and departments.
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Wells Fargo – Lakewood, CO,
- Maintain monitor confidentiality of bank records and client information. Identify and analyze processing documents, including beneficiary forms, excess and recharacterization forms.
- Assist with identifying operational processes, inefficiencies, and recommended necessary improvements.
- Identify and resolve system and account issues.
- Make reasonable procedure exceptions to accommodate unusual client requests.
- Provide accurate and appropriate information in response to client inquiries.
- Develop effective relationships with all departments through clear communication.
- Properly direct inbound calls in phone queues to improve call flow.
- Actively participate in quality calibration sessions with team members and call center management.
- Maintained up-to-date knowledge of individual retirement account policies and procedures.
- Resolve individual retirement account issues.
- Monitor and track securities transactions and fund transfers.
Wells Fargo Advisors – City, STATE,
Securities Operations Service Specialist 4 (MIddle Office) 2014-2015
- Assist in processing all asset movement service requests for Private Client Group (PCG) business channel.
- Act as a liaison between branch and other internal departments to resolve any asset movement issues or discrepancies
- Review and research escalated questions, inquiries, and problems in order to provide a timely resolution.
- Provide a high level of customer service and assistance to branch associates and internal departments on a service line with both standard brokerage and individual retirement account (IRA) questions to gain understanding of both policies and procedures.
- Train new and existing team members on back office technology and procedures including call shadowing training.
Securities Operations Service Specialist 3 (Regional Control and Service) 2012-2014
- Assist in processing all asset movement for the entire Wealth Brokerage Service Group (WBS) within the west coast region.
- Proactively serviced and resolved issues by conducting research, taking ownership, and following up with clients to provide status.
- Trained team members on back office technology and procedures
- Supported team leader with duties such as developing training guides for new hires, attended quarterly sessions for disaster recovery and system testing while building moral amongst the team
- Demonstrated leadership and problem solving skills by serving as a policy and procedure coach and creating and revising departmental procedures
- Provided backup for other desks and cross trained on all department functions.
- Acted as subject matter expert on all asset movement functions within department.
- Complied with regulatory requirements including Bank Secrecy Act, Anti-Money Laundering, OFAC, USA Patriot Act, Privacy Act and Community Reinvestment Act.Maintained confidentiality of bank records and client information.
Securities Operations Service Specialist 3 (IRA Operations Support) 2010-2012
- Provided high level of service support to Financial Advisors and Client Associates via telephone support.
- Analyzed various distributions and contributions to ensure clients are taking the required minimum distribution
- Took ownership of inquiries to ask the right questions to bring timely, accurate, one and done solutions.
- Assisted branches with calculating excess contributions and re-characterizations.
- Effectively use knowledge, tools, and resources to ensure service and processing output is compliant with current policies, procedures, rules, and regulations.
Securities Operations Service Specialist 2 (IRA Processing) 2008-2010
- Identified and resolved escalated issues with brokers and clients by taking ownership to ensure a successful resolution.
- Accurately processed distributions and contributions at a high level of proficiency according to SEC regulations.
- Addressed and resolved non-routine, complex and unexpected variances. Verified details of transactions, including funds received and total account balances. Maintained up-to-date knowledge of department policies regarding standard brokerage and brokerage individual retirement accounts.
Lindenwood University - St. Louis, MO
Coursework in Business, Marketing, Psychology, and Communications
50 earned credits
3.0 GPA
Solid problem solving skills
Telephone skills
Strong organizational skills
Multi-tasking
Active listening skills
Adaptive team player
Strong attention to detail and accuracy skills
Excellent verbal, written, and interpersonal skills
Microsoft office suite: Microsoft Outlook
Microsoft Word, Intermediate Microsoft Access
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School Attended
- Lindenwood University
Job Titles Held:
- Retirement Service Specialist
- Securities Operations Service Specialist
Degrees
- Bachelor of Science
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