Customer Service Project

Michelle D. Owens

***** ****** ***** . ************, ** 46229

317-***-**** . *****.********@*********.***

Profile of Qualifications

Client-focused Business Professional with an MBA specializing in Account

Relations, Business Communications, Compliance, Customer Service, and

Finance eager to support a progressive employer in maximizing success. Top-

performer with the ability to make decisions which reflect positively on

business productivity, company well-being, and client satisfaction.

Excellent communicator who can handle multiple assignments within deadline-

driven environments. Integral leader who can effectively interface with

all business professionals, from entry level personnel to executives.

Ambitious self-starter who demonstrates superior attention-to-detail and

strong problem analysis / resolution skills.

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Key Areas of Expertise

Administrative Support Account Management Business

Communications Fiscal Management

Client Relations Customer Service

Problem Resolution Research / Analysis

Compliance Finance

Accounting/Bookkeeping Project Management

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Professional Synopsis

Compliance Administrator

Huntington Asset Services / Huntington Bank, Indianapolis, IN 05/2010 -

Present

. Project team lead - new robust compliance software system (Charles

River); which has improved client satisfaction, increased efficiency,

o Researched, evaluated, helped select compliance software system

o Assisted with contract negotiations

o Lead implementation team (from business prospective)

. Project team lead - implementation of new SEC reporting software

(Browne - N-MFP)

. Compliance department team lead - department representative for

company meetings (report issues, activities etc.); created and

maintains compliance department procedures/manual

. Work in closely with internal and external audit teams to ensure all

clients have been and continue to be in compliance with SEC

(Securities Exchange Commission), IRC (Internal Revenue Code) and

FINRA (Financial Industry Regulatory Authority) regulations, as well

as fund specific rules and limitations

. Monitor daily compliance via automated compliance system for 100+

mutual funds

. Prepare and analyze quarterly compliance reports (using Excel and

Bloomberg) via various manual compliance testing processes for 100+

mutual funds

. Work diligently with Financial and Legal Administration to provide

oversight of financial information submitted SEC automated financial

reporting

o Prepare, disseminate for review and submit financial regulatory

filings sent to the SEC

. Communicate any and all compliance issues and/or violations to chief

compliance officers, clients (fund advisors, portfolio managers),

auditors, etc.

. Review and Research new and existing SEC, IRC and FINRA regulations to

ensure procedures and testing are up to date and being performed

correcting (respectively)

. Lead administrator for company's AML (Anti-Money Laundering)/BSA (Bank

Secrecy Act) compliance program (AML, OFAC (Office of Foreign Assets

Control), FinCen (Financial Crimes Enforcement Network))

. Project team lead - implementation and current maintenance of AML/BSA

software (Lexis Nexis/Bridger XG)

Shareholder Services/Transaction Specialist

Huntington Asset Services / Huntington Bank, Indianapolis, IN 11/2006 -

05/2010

. Lead administrator for company's AML/BSA compliance program (AML,

OFAC, FinCen)

. Project team lead - implementation and current maintenance of AML/BSA

software (Lexis Nexis/Bridger XG)

. Team lead for NSCC (National Securities Clearing Corporation)

processing

. Consistently among the top 5 performers (quality & quantity) for

transaction processing (trades, account maintenance, etc.)

. Applied dynamic leadership toward reforming AML/BSA compliance

program to maximize financial security efforts and improve customer

service

o Created procedure manual for AML/BSA compliance program

. Assisted with creating other departmental procedures

. Project team lead - revamp (update) departmental forms for

clients/shareholders

. Examined, processed, verified, balanced, and reconciled over 100

transactions daily from listings, invoices, vouchers, and reports.

. Utilized bookkeeping and accounting procedures for trust account

processing.

. Systematically prepared, adjusted, and closed basic journal entries.

. Verified accounting documents for consistency, accuracy, and

completeness.

. Reviewed and processed contributions, distributions, interest,

principal, dividends, corporate actions or fees.

. Handled maintenance on new and existing plan participants or

bondholder accounts.

. Handled balancing and generation of periodic reports and/or statements

for less complex accounts.

Customer Relations Specialist

BMG / Columbia House, Indianapolis, IN 08/1998 -

11/2006

. Utilized broad scope of industry and professional services knowledge to

review, research, and respond to diverse customer correspondence to

include actively resolving key client complaints via account data

analysis and adjustment.

. Played a vital role in identifying critical problems within a complex

customer service system to ensure seamless operations.

. Regularly performed at above-average productivity to include processing

100-125 pieces of mail per hour.

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Education

Master of Business Administration (Management Emphasis-3.86 GPA) - 04/2009

Indiana Wesleyan University

Bachelor of Science in Liberal Studies (3.12 GPA) - 05/2005

University of Indianapolis

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Additional Experience

Specimen Processor (Part-Time)

Mid America Clinical Labs, Indianapolis, In 06/

2008 - 05/2011

. Meet and exceed set organizational objectives by proficiently

receiving, labeling, and preparing laboratory specimens for testing,

along with optimizing information management efficiency by performing

accurate data entry practices.

Michelle D. Owens

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