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Retirement Service Specialist Resume Example

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RETIREMENT SERVICE SPECIALIST
Professional Summary

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.

Accomplishments
  • 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.
Skill Highlights
  • 3 + years in call center environment
  • 7 + years of brokerage operations experience
  • Effective organizational, multi tasking, and prioritizing skills
  • Proficiency in industry systems, to include but not limited to Beta, Smart Station, Wisdom, Champ, Hogan, and Nice.
  • 4 years of individual retirement account (IRA) experience
  • 6 + years of both beta and hogan experience
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Knowledge of securities industry procedures and regulations.
Professional Experience
Edward JonesApril 2015Retirement Service Specialist
Saint Louis, MO
  • 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 AdvisorsOctober 2008 to April 2015Securities Operations Service Specialist
St. Louis, MO

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.

Certifications
Corporate Training Securities Industry Certificate Program, Enterprise Compliance & Ethics Training: Anti-Money Laundering; OFAC Training; Privacy & Information Security, WFA Global Anti-Corruption
Education and Training
Lindenwood UniversityBachelor of Science: Business AdministrationSt. Louis, MO

Coursework in Business, Marketing, Psychology, and Communications

50 earned credits

3.0 GPA

Skills

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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Resume Overview

Companies Worked For:

  • Edward Jones
  • Wells Fargo Advisors

School Attended

  • Lindenwood University

Job Titles Held:

  • Retirement Service Specialist
  • Securities Operations Service Specialist

Degrees

  • Bachelor of Science : Business Administration

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