retirement service specialist resume example with 6+ years of experience

(555) 432-1000,
Montgomery Street, San Francisco, CA 94105
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.

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.
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 University St. Louis, MO Expected in Bachelor of Science : Business Administration - GPA :

Coursework in Business, Marketing, Psychology, and Communications

50 earned credits

3.0 GPA

  • 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.
Professional Experience
Wells Fargo - Retirement Service Specialist
Lakewood, CO, 03/2015 -
  • 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 - Securities Operations Service Specialist
City, STATE, 09/2008 - 03/2015

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.

Solid problem solving skills

Telephone skills

Strong organizational skills


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

School Attended

  • Lindenwood University

Job Titles Held:

  • Retirement Service Specialist
  • Securities Operations Service Specialist


  • Bachelor of Science

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