**** ********* ****

Brooklyn, New York *****

917-***-****

acqjxw@r.postjobfree.com

Investment Sales Liaison

Background Summary

A self-starting, accurate, curious, innovative, and careful representative of an investment group. Specialist in dealing with agencies, sales representatives, compliance officers, and third-party vendors. Process new advisory accounts, model changes, and maintenance to the existing book of the company’s nonproprietary advisory business. Consistent and reliable in completing high profile projects and assignments. Proficient in handling multiple tasks and responsibilities concurrently. Apply best practice tools and techniques to continuously improve the quality, effectiveness, and efficiency of tasks completed, within compliance requirements.

Work History

2013-12/2014

Guardian/Park Avenue Securities

Third Party Advisory Representative/Client Onboarding Specialist

• Worked with Client Relationship Managers to understand scope and objectives, resolved account issues, obtained needed information and documentation, performed KYC/CDD/EDD on new customers and during periodic account reviews for money managers

• For projects, prepared documents, tracked costs, quality, and milestones. Prepared required reports; worked with clients in ensuring they were supported throughout

• Stayed abreast of changes at 3rd party program manager operations and appropriate changes could be built into company operations procedures

• Responded to incoming program questions

• Facilitated resolution of issues

• Supported the sales staff

• Monitored group inbox and respond/escalate inquiries

• Created and maintained relationships with 3rd party program managers to facilitate the processing of company business

• Interacted with sales reps, compliance officers, operations staff, and program managers

• Subject matter expert for the Business Process Management system during project implementations, and mentored others upon launch

• Executed test scripts, scenarios, and log results on SharePoint

1998-2013

Guardian/Park Avenue Securities

Subscriptions Associate/Direct Investments

• Managed and performed a range of diverse administrative activities

• Served as of liaison with other departments and external constituencies in resolving a variety of day-to-day matters

• Managed and disbursed funds as needed

• Coordinated and distributed workflows

• Mentored, trained, and assigned skill sets, ensured quality assurance volume standards were met

• Reviewed and processed direct account applications for mutual funds, variable annuities and equity index annuities

• Reviewed paperwork for redemptions and transfers

• Reviewed NETX360 to ensure that all activity is completed accurately and on time

• Responded to investor audit related inquiries

• Managed the client profile MS Access database

• Responded to/resolved reps’ issues and inquiries

• Researched, compiled, computed, and presented data from varied sources

• Maintained disaster recovery plans and tested from remote sites

• Coordinated agency training and conferences

• Subject matter expert for the Business Process Management system

• Recommended several innovations for the books and records system

• Filmed in a financial promotional video

Maxine Brown

1988-1998

Guardian Life

Underwriting Associate

• Resolved inquiries and complaints from agents and regional offices, from agencies and policyholders via telephone and/or written correspondence

• Communicated resolution of inquiries via Mainframe correspondence tracking application

• Conducted information sessions with underwriters when necessary

Education

• Candidate for Business and Management degree, Phoenix University

• Career related courses and seminars, focusing on the financial sector (anti-money laundering, ethics, etc.), Lotus Notes, BCI (see summary page)

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