Customer Service Assistant

Lana Malizia

**** **** **** **** ** #***

St. Petersburg, FL 33704

727-***-****

********@*****.***

SUMMARY

Over 10 years experience in the financial industry. Results-driven with

experience in a variety of customer-focused services and financial

operations. Strong analysis, reporting, problem resolution, reconciliation

and trouble-shooting skills. Ability to organize priorities and manage

deadlines. Series 6 licensed, Microsoft Office product proficient.

PROFESSIONAL EXPERIENCE

Raymond James and Associates, St Petersburg, FL 1999 - 2010

Accounting Operations Representative III, 2007 - 2010

. Prepared daily financial activity summary for portfolio managers to

determine available cash for investment

. Balanced daily bank statement activity by reconciling the redemption,

subscription, operating expense and commission accounts

. Reconciled account and general ledger activity

. Reconciled the ach direct deposit account and the outstanding

redemption and commission checks monthly

. Prepared monthly compliance reports for review by management and Board

of Directors

. Filed and submitted payment for state and federal withholding taxes

. Recorded statistical data, reviewed the financials, paid vendor

invoices and completed monthly billing

. Processed and accounted for semi-monthly commission payments,

quarterly trail payments and researched any discrepancies for advisors

and clients

. Processed the escheatment of unclaimed property to required states

. Provided customer service to external financial institutions, internal

sales associates and financial advisors

Cash Management Associate, 2005 - 2007

. Processed daily journal entries and balanced the money movement

between the transfer agent and brokerage account

. Researched any client check-writing issues

. Provided customer service for accounts with insufficient funds

. Reviewed account paperwork on checks rejected for suspicious

information such as unsatisfactory signature, unauthorized signature,

altered amount, etc

. Processed deposits to client accounts in the form of checks, wires,

and ACH deposits

. Processed client fed wires including international wires

. Researched rejected wires to determine and rectify issues for proper

processing

Assistant Supervisor of Mutual Fund ACATS, 2002 - 2005

. Managed operations and reviewed work for accuracy

. Oversaw the transferring of assets into and out of brokerage accounts

. Researched and reconciled rejected items

. Developed and maintained written procedures for department functions

. Answered incoming calls to assist Financial Advisors with questions

regarding operations and to resolve issues in customers' accounts

. Provided customer service for escalated issues

. Prepared weekly and monthly department status reports

. Assisted with preparation of annual department budget and monthly P/L

review

. Recommended procedures for automation

. Performed interviews, hired, coached and counseled associates and

prepared annual associate performance reviews

. Participated in determining requirements, implementation and testing

of new systems

Previous Positions Held:

Raymond James & Associates

Various operations, client and customer services positions, 1999 - 2002

EDUCATION

. Certificate, Legal Assistant, Pinellas Technical Education Center,

Clearwater, FL

. Diploma, Osceola High School, Seminole, FL

LICENSES AND CERTIFICATIONS

. NASD Series 6 Licensed

Contact this candidate