J.W.

OBJECTIVE

Investment Operations

professional with extensive

experience in the financial

services industry. Expertise in

the Operations platforms, data

Investigation & analysis and

reconciliation. Exceptional

accuracy and efficiency, with a

strong attention to detail,

achieving business goals while

meeting challenging deadlines.

Highly and equally successful

in individual and team capacity.

Recognized for strong work

ethic and proactive approach.

JUNANN E. WARE

Wilmington D.E. ac7k8e@r.postjobfree.com

(631) 317- 8195

EXPERIENCE

Brokerage Operations Associate • CAPITAL ONE INVESTING, Melville NY & Wilmington DE • (2018-Present)

Point of contact, from submission to issuance, for all electronic annuity purchases. Escalation point for Financial advisors for detection and remediation of issues related to funding and documentation. Executed daily reconciliation of General Ledger accounts, Cash due, and Margin accounts. Remediated monthly report to accounting based on GL reconciliation. Executed Banklink settlement, wires, and book transfers. Supported onboarding of new Hires, both field and operations, on department processes and workflow.

Competencies

Subject matter expert (SME) for the Investigation, monitoring, trade quality control and processing of all electronic subscribe annuity purchases. Consistently exceeded standards of Capital One Investing’s SLA.

Managed testing of operation enhancements to ensure error free implementation & execution of new Regulatory requirements.

SME for Wire and Book Transfer systems.

Acted as an Alternate resource for other departmental teams such as Wealth transfer, IRA and Account Maintenance.

Principal Brokerage Operations Coordinator • (2016-2018) Responsible for researching deposits made, including ACH’s, resolving errors, in several Capital one Investing DDA accounts through Intellix and Imagesoft systems. Performed book transfers for corrections, facted funds into client’s brokerage accounts, and approved wires through Pershing platform. Settlement of checks received through mail, reviewing for valid check guidelines. Daily balancing of direct Annuities, Mutual Funds. 529 accounts and physical securities.

Competencies

2

EDUCATION •

LICENSES &

PROFICIENCIES

Business Administration - 2

years Course work, Suffolk

County Community College;

FINRA Series 99, Life and

Health Insurance license,

Microsoft office suite,

Pershing-NetX360, Intellix,

Imagesoft, Acquire,

Actimizer, Sales Force, Lexis

Nexis.

OTHER RELATED

EXPERIENCE

Assistant Manager •

Branch Platform

Representative • HOME

FEDERAL SAVINGS BANK,

Patchogue, NY/ Lake Grove,

NY

Insurance Bookkeeper •

Branch Operations Clerk •

UNION SAVINGS BANK,

Patchogue, NY

Conducted QA analysis and approved processed wires.

Elected to train new hires.

Selected to work on several projects as needed by management. Brokerage Processing Principal Coordinator • (2007-2016) Executed daily Cash Tracking and reconciliation of funds received by COI. Onboarded new Brokerage and Annuity accounts, and performed Lexis/Nexis compliance review for each. Queried reports to identify and analyze targeted transactions for weekly Investigation and review. Completed and approved Agent commission statements for multiple carriers, Investigated and resolved Agent licensing issues. Partnered with Accounting on commission Coins requests and bottom line adjustments monthly. Responsible for resolving DTCC AML exceptions on accounts. Competencies

SME for Cash Tracking process within Capital One Investing.

SME for commission Coins requests within Capital One Investing.

Selected as a Level 1 Approver for new brokerage accounts opened.

Banking Processing Principal Coordinator • NORTH FORK BANK, Melville, NY • (1998-2007)

Supervised as Team leader for Telephone express operations. Trained associates in resolving customer issues, facilitating a good client experience. Partnered with several bank departments to address, and reconcile issues.

Competencies

Consistently achieved and exceeded performance objectives.

Mediated successfully, escalated client calls.

Undertook the training of new representatives.

Contact this candidate