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Securities Operations Service Specialist I Resume Example

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SECURITIES OPERATIONS SERVICE SPECIALIST I
Summary
8 years Annuity contract servicing experience. 5 years Insurance contract servicing experience. Strong sense of responsibility Leadership and Management Work well under deadline and high-pressure situations. Relationship building, strong attention to detail, effectively manage deadlines and competing priories. Fast Learner, strong organizational skills, follow-up abilities, and problem solving, and analytical skills. Training/coaching and team building skills. Excellent verbal and written communications skills. Advanced skill level in MS Word; Intermediate skill level in Excel, PowerPoint, and Outlook.
Highlights
  • Excellent time management skills
  • People-oriented
  • Analytical
  • Flexible
  • Excellent communication skills
  • Goal-oriented
  • Reliable
  • Process implementation
Experience
Securities Operations Service Specialist I
February 2009 to Current Wells Fargo Company － Charlotte, NC
  • Utilize image and work-flow systems to electronically capture, index, and store annuity trade documents.
  • Manage a high-volume of time sensitive task related to Annuity trades.
  • Recognized by management for my commitment to the team and my desire to perform at high levels.
  • Process 50-75 manual and electronic Annuity trades per day.
  • Monitor workflow queues to ensure that compliance and processing requirements are met.
Annuity Specialist
May 2008 to January 2009
  • Successfully managed 100% of expected paperwork flow and completion, demonstrating corporate efficiency and service orientation to internal and external customers while maintaining profitability.
  • Demonstrated sound problem solving and analysis and decision making when reviewing application files.
  • Reviewed and processed 25-30 unique annuity rejections and exceptions per day.
  • Researched and resolved moderately complex problems using various internal systems.
  • Validated paperwork requirements by performing data entry transactions into an annuity system.
Processing Associate
September 2007 to May 2008 Vanguard Group － Charlotte, NC
  • Established 60-75 new account enrollments per day by collating necessary documents and paperwork.
  • Received and input 75-100 policyholder payments into internal system; ensured payments were processed and properly recorded based upon assigned line of business.
  • Performed various account maintenance processes, disbursements, and account transfers.
  • Demonstrated a logical and systematic approach to problem solving; focused on client expectations and improving effectiveness and efficiencies of operations.
  • Displayed strong client relationship management skills during interactions with both internal and external clients.
Application Processor
June 2003 to April 2005 AXA Equitable － Charlotte, NC
  • Life Insurance)
  • Accurately and timely processed 15-20 state appointments and terminations for 3rd party brokers.
  • Conducted research regarding financial advisors and FAA inquiries; educated FAAs regarding state appointments.
  • Validated state and product requirement for agents for new business.
  • Reviewed error reports and corrected reports; made appropriate adjustments and system updates. (Life Insurance)
  • Prepared 45-50new business files for data entry based on predetermined criteria and input information into internal system for processing.
  • Entered data into a MS Access type database.
  • Reviewed paperwork for omissions and compliance requirement.
  • Mentored and coached new hires.
  • Validated paperwork in accordance with state and regulatory guidelines.
Education
Bachelor of Science : Business Management University of Phoenix － Charlotte, NC, US University of Phoenix, Charlotte, NC June 2014 Bachelor of Science in Business Management 3.6GPA
Accomplishments

Accomplished and results driven professional with 10+years of extensive experience in the financial industry. Recognized for professionalism, commitment to providing excellence customer service and being a team-player. Instrumental in the development and implementation of quality improvement processes that resulted in a decrease in the department's error rate by 3%. Successfully assisted department with processing and closing annuity trades totaling approximately $8 million in revenue per month.

Professional Affiliations
5 years team leader- (Volunteer for Nonprofit Organization)
Skills
Operations, Closing, Customer Service, Million, Receptionist, Retail Sales, Securities, Workflow, Data Entry, Access, Database, Ms Access, New Hires, Processor, Associate, Adjustments, Faa, Terminations, Problem Solving, Exceptions, Account Maintenance, And Account, Clients, Collating, Maintenance, New Account, Payments, Relationship Management, Annuities, Coaching, Excel, Fast Learner, Life Insurance, Mentoring, Ms Word, Organizational Skills, Outlook, Powerpoint, Relationship Building, Retail, Retail Customer Service, Retail Marketing, Retail Merchandising, Team Building, Training, Word, Business Management
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Resume Overview

Companies Worked For:

  • Wells Fargo Company
  • Vanguard Group
  • AXA Equitable

School Attended

  • University of Phoenix

Job Titles Held:

  • Securities Operations Service Specialist I
  • Annuity Specialist
  • Processing Associate
  • Application Processor

Degrees

  • Bachelor of Science : Business Management

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