Manager Customer Service

ANDREW SHAKESPEARE

**** *** ***** ******, ***. *F

Brooklyn, NY 11219

Cell: 917-***-****

E-mail: ***************@*****.***

PROFESSIONAL PROFILE

Accomplished investment and financial services professional with 10+

years' experience in supporting sales and trading staff and the

interests of managing high net-worth retail and institutional clients.

. Mitigate risk to firm by ensuring strict adherence to

operational risk controls in accordance with corporate and regulatory

standards, guidelines, policies and procedures.

. Extremely detail oriented; demonstrate strong organizational

and analytical skills; consistently chosen to assist with majority of

special projects and activities requiring attentiveness to detail and

meticulous follow through.

. Industrious and reliable; self-motivated, accustomed to working

in an environment where time management, productivity, consistency

and multi-tasking are crucial.

. Computer proficiency in ADP/Broadridge, Thomson One, Advisor

Compass, Contact Manager, Online File Manager, and MS Office;

Internet savvy.

CAREER ACHIEVEMENTS

. Successfully recouped $2.5 million in unsatisfied small debits.

. Assisted advisors in tracking accounts and leveraging contacts

for business opportunities, resulting in a 20% increase in gross

commissions year-over-year.

. Assisted with the purchase of a retiring advisor's book of

business that increased assets under management by $15 million.

. Participated in a negative equity debt recovery project

yielding $4.3 million.

EXPERIENCE

Ameriprise Financial New York, NY

Sales Assistant 9/10-3/13

. Efficiently support higher level financial consultants

responsible for aggregate asset maintenance of over $50 million.

. Provide strategic support to sales staff in their efforts to

inform clients of various investment opportunities and encourage

those clients to avail themselves of Firm's business savvy.

. Research companies, monitor stock and bond performance,

geopolitical events and emerging trends to arm advisors with most

recent and accurate information to meet clients' investment

objectives.

. Forward and code research keyed to clients' industry interests

so they are consistently updated of stock activity and analysts'

opinions; provide client feedback to analysts; run reports to track

resources clients have utilized.

. Answer client inquiries regarding market events, industry

trends, deal pricing information, etc.

. Upload prospects, update client information and bank

authorizations, process beneficiary changes.

. Send initial requests and follow-up letters for necessary due

diligence-related documents.

. Assist advisors with compliance requirements by sending and

filing all CSU documents.

. Open accounts, process ACATs, and follow up on delayed

issued/open items.

. Maintain close daily contact with clients to update them on

market conditions, communicate portfolio-relevant information such as

stock quotes, and keep them abreast of breaking news affecting their

investments.

. Accept and place solicited and unsolicited orders; process

money movement transactions for clients and execute trades in the

absence of their financial consultant.

. Work with financial advisors to track client portfolio review

through Group Service Frequency reports.

. Track SPS requirements and assist advisors in meeting delivery

requirements.

. Facilitate options trading.

. Enter data and verify accuracy of Plan Source/Navi Plan.

. Schedule and confirm appointments for CFAs and maintain

calendar.

. Provide necessary materials for CFAs client meetings, i.e.

disclosure forms, brochures, etc.

ANDREW

SHAKESPEA

RE

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H.S.B.C. Securities Jersey City, NJ

Margin Clerk 12/04-8/09

. Processed daily reports and issued regulation extensions.

. Issued federal and house calls to clients' accounts.

. Reviewed all trading activity for SEC, NYSE and firm

compliance.

. Provided calculations for available cash and buying power.

. Ensured prompt notification and timely collection of funds.

. Approved outgoing wire transfers in U.S. and international

currencies.

. Processed international and domestic stock transfers via

Euroclear, Crest and DTC systems.

. Reviewed/maintained margin accounts as well as other client

files and information.

. Responsible for a debit recovery project, contacting clients to

cover negative equity accounts.

. Assumed responsibilities of outgoing manager of margin

department for several months during outsourcing transition, which

realized the company considerable hiring and salary savings for an

interim manager.

TD Waterhouse Securities New York, NY

Financial services specialist 1/99-12/04

. Studied for and acquired Series 7 and 63 license.

. Provided information in response to client inquiries.

. Responsible for customer service, trading, and account update

information.

. Processed stock, option and mutual fund transactions.

. Calculated margin and option maintenance and requirements.

. Received, processed and booked checks into computer system

crediting accounts paying for purchases of securities.

. Responsible for all utility work including stock powers,

journalizing liquid assets and/or securities.

. Prepared security deliveries, transfer, and ships for accurate

and timely processing.

. Input and transmitted margin extensions to NYSE via SIAC.

. Assisted Margin Department in issuing NYSE and house calls.

. Prepared and mailed wire debit notices to customers on a daily

basis.

EDUCATION & CREDENTIALS

Series 7, 63, 65 and 4 NASD Licensed

NY State Life, Accident and Health insurance License

NY State Department of Education - Albany, NY U.S. High School

Equivalency Certificate

Beechen Cliff Senior High School - Bath, England Diploma

References available upon request.

Contact this candidate