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Manager Customer Service

Macedon, New York, United States
August 16, 2018

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Kathleen a. Emert

*** ********* **** (C) 585-***-****

Macedon, NY 14502

Professional Summary

Financial Services Professional with a diversified background in Operations, Client Servicing and Administration functions; extensive, progressive experience in all aspects of retirement plans and custody operations. Excellent technical knowledge coupled with strong communication, organization and management skills. Trusted leader capable of motivating others. Fostering cross-functional team communication, designing/implementing new processes, systems and employee recognition and training are significant strengths.

Proven Expertise:

Extensive knowledge of retirement plan operations and administration

Comprehensive knowledge of custody operations

Strong management and leadership skills

Continuous process improvement

Fiduciary Oversight / Regulatory Compliance

Superior Customer Service

Vendor Management/Negotiation

Risk Management

Professional Experience

Manning & Napier Advisors, LLC, Fairport NY 2011 – July 2018

Exeter Trust Company is a non-depository New Hampshire chartered trust company wholly owned by Manning and Napier Advisors, LLC.

Institutional Custody Services Manager

Manage all aspects of the Institutional Custody Services Department for Exeter Trust Company (ETC) which includes 2 separate serving teams: High Net Worth Clients and External Financial Advisory Relationships. The staff supporting these teams consists of seven Account Administrators and five Assistants who service over 5000 clients of taxable and non-taxable accounts. Responsible for the company’s Retirement Plan Administration including accounts where ETC is trustee and includes the administration and support for Collective Investment Trusts. Shared responsibility for company’s systems, procedures, compliance, internal and external audits as well as the New Hampshire Bank Exam. Client-facing responsibilities including, but not limited to, serving as an escalation contact for clients.

Oversaw company’s Administrative services including client correspondence, record retention and various other administrative responsibilities.

Lead manager to backup BSA Compliance Manager.

Member of the Coalition for Collective Investment Trusts (approximately 22 Institutional members).

Coordinated cross-functional team communication and training sessions.

Lead contact for department process improvements and workflow initiatives.

Streamlined regulatory updates to ERISA Plan Documents, IRA Agreements and other account documentation and requirements.

Canandaigua National Bank, Canandaigua, NY 2008 - 2011

Manager, Retirement Services

Responsible for the Retirement Services Department for the bank, which included servicing

employer-sponsored plans and IRAs. Primary responsibilities included: Leadership & management of staff (capacity, training, mentoring and development), establish strategic direction, oversaw procedures & compliance and product development. Acted as Relationship Manager for several large accounts and Investment Committee member. Developed marketing materials, RFP’S and presentations. Provided management and oversight of vendor relationships.

Established several new plan designs, solo 401(k), cash balance and 403(b) plans.

Created Target Date Funds as an investment vehicle for Retirement Plans.

Centralized IRA processing and established a web-based application streamlining account openings.

Established a web-based monitoring tool for Mutual Fund compliance reviews and oversight for the Investment Committee.

Kathleen Emert page 2

Professional Experience (continued)

Manager, Retirement Services (2008)

Relationship Manager for Employer Sponsored Plans including all aspects of the relationship including plan documents, set up, trust reviews, record keeping relationship, employee education meetings.

HSBC Bank, Buffalo NY 2004 - 2008

Manager, Retirement Plan Trust

Responsible for all aspects of the Retirement Plan Trust Administration Client Service Group which included five trust administrators and 4 assistants servicing over 400 qualified and non-qualified retirement plans. Served as the Chairperson in managing fiduciary risk through the Oversight & Trust Investment Management Committee. Ensure superior customer service of account administration, custodial and ERISA reporting services to clients, including signature ready 5500 reports.

Developed formal Client Regulatory Notices alerting clients to significant legal or regulatory changes.

Eastman kodak company, Rochester, NY 1974 - 2004

Manager, Investment Operations (2000 - 2004)

Managed all aspects of Investment Operations overseeing Kodak’s $7.0 billion U.S. and Canada defined benefit plans and $6 billion in U.S. and Canada defined contribution plans. Required direct interface with external professionals on a frequent basis, the capability to make independent judgments and decisions, investment manager evaluations and an in-depth knowledge of the intricacies of defined benefit and defined contribution plans. Acted as lead investment representative for 401(k) communication and education. Monitored over 100 external premier money managers and investment programs. Provided management & oversight of vendor relationships, Trust Agreements, $3 billion stable value relationship and annuity insurance relationship.

Pension Investment Coordinator (1997 – 2002)

Responsibility encompassed all Pension Investment Operations information and accounting systems, including those externally supported. Developed and maintained several internal investment performance measurement systems. Managed cash account for the major defined benefit plans. Coordinated joint projects with other departments (Benefit Administration, Tax and Controllers) such as: year-end pension disclosures, Department of Labor audits and government reporting.

Senior Pension Investment Analyst, Pension Investment Analyst, Pension Investment Specialist (1989 to 1997)

** Prior to 1989, held numerous financial services support positions in my initial years with the company.


Rochester Institute Of Technology, Rochester, NY

Bachelor of Science - Finance

Monroe Community College, Rochester, NY

Associates Degree - Human Services

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