Manager Life Insurance

DANIEL M. TAYLOR

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

Lindenhurst, NY 11757

631-***-****(Home)

631-***-****(Cell)

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

QUalifications summary

Performance driven, motivated individual with a background encompassing

experience and proven accomplishment within the following areas:

. Specialist in Client Services, IRA's, Retirement Plans, Defined Benefit

Plans, 401(K) Plans.

. Extensive, effective communication with clients, employees, and managers

. Developed personnel into more effective employees.

. Excellent Problem Solver and exceeds Customers expectations.

PROFESSIONAL EXPERIENCE

Great West Life Insurance June 2011-march 2012

New York, NY

Senior Account Administrator

Review, process, and approve withdrawals from the NYC Employees Deferred

Compensation plans,

Maintain pending files of those not yet eligible for withdrawal and

process as they become valid.

Contact plans participants to discuss and resolve errors in the withdrawal

requests.

Prepare correspondence to participants instructing them on resolving

discrepancies/errors

HSBC SECURITIES

DECEMBER 2003-May 2009

New York, NY

Division Relocated to Buffalo NY

rETIREMENT pLANS aSSOCIATE/Operations Specialist

Support for the Financial Advisers and managers responding to inquiries

relating to the rules, regulations and procedures of Retirement Accounts.

Process distribution/transfer requests from clients, insuring that standard

procedures are followed limiting risk to the client and to the firm.

Process contributions into retirement accounts, insuring that the proper

reporting code is used; i.e. contributions, rollovers, and transfers

according to regulations and specifications.

Review departmental procedures for risk assessment.

Client Service Associate contact for clients, multiple Clearing Firms, and

Investment Companies.

Responsible for follow up on pending business through completion and

customer satisfaction.

Maintain various databases to track client investments.

Employment Hstory 1987-2003

investec ernst & co. Client Associate

Fomerly known as Ernst & Co Mutual

Fund Department Manager

New York, NY Client Associate Manager

the bank of new york,

New York, NY Assistant Manager, Mutual Fund Shareholder Services

Responsible for the handling of all types of retirement plan products,

IRAs, Roths, SEPs, and Defined 401k Contribution Plans, Mutual Funds with

an in-depth knowledge of IRS and ERSA regulations and how they apply to the

particular plans.

Established internal procedures and process to insure coordinated

workflow, effectively saving processing time, limiting risk, problem

solving and customer satisfaction.

Summary of Responsibilities and Accomplishments

. Managed the staff into an effective, cohesive unit thereby increasing

productivity.

. Established a centralized clearinghouse of information regarding

retirement plans, which allowed clients to save time and made the

department user-friendlier.

. Supervised the client services help desk, responding to inquiries from

both Account Executives and clients in regard to plan limitations for

contributions/distributions, the procedures for establishing each type

of plan, and for the ongoing maintenance of the account.

. Acted as a liaison between the firm and the trustee, insuring that all

clients were in compliance with applicable regulations.

. Coordinated the conversion of new business coming into the firm,

insuring continuity of business without a loss.

. Prepared departmental budgets, and evaluated personnel resulting in

cost savings and more efficient personnel.

. Coordinated the establishment of an electronic reporting system that

significantly reduced errors.

. Recruited, interviewed, and managed three supervisors and 30 clerical

staff in the responding to shareholder inquiries.

. Established and updated procedures resulting in time saved and costs

reduced.

. Prepared and conducted semi-annual employee evaluations.

PROFESSIONAL LICENSES

Series 6 and 63

Education

American Institute of Banking, New York, NY

City University of New York, Bernard M. Baruch College, New York, NY

Accounting Major, Business Management Minor

technical skills

Microsoft Word and Excel

Contact this candidate