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Client Service Manager

Location:
La Quinta, CA
Posted:
March 01, 2019

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Resume:

Stephanie A. Baty

***** ****** **** **. *****, CA 92201

760-***-**** (cell)

ac8ndp@r.postjobfree.com

Summary of Qualifications:

Strong front desk managerial skills, greeting clients and servicing their account needs, including trouble-shooting and necessary follow-up for resolution

Telephone conference and calendar scheduling, as well as appointment scheduling

Financial industry management and administration experience with Registered Investment Advisory Firm, with emphasis in investments, retirement plans, Life/Disability Insurance, and account maintenance

Excellent working relationship with employer, co-workers and clientele

Extremely dependable and reliable, completing projects accurately and within scheduled deadlines.

Ability to work as a team player or independently

High volume and multi-task projects welcome; computer-savvy and ability to work a variety of office machines

Key attributes are professionalism, strong customer relation skills, organizational and follow-up skills, as well as self-motivation

Professional Experience:

All financial industry branch office operations for Registered Principal and multiple Representatives

Ability to interest clients in new sales pertaining to insurance products, REIT’s, etc.

Life and Disability Insurance Illustrations, application preparation, case processing and underwriting follow-up

Maintenance of all compliance-related books and records; successful in passing broker/dealer FINRA/SIPC annual audits

Agent Licensing establishment, renewal, and appointments for all 50 U.S. States in accordance with RIA, Securities, as well as Continuing Education tracking

FINRA, Broker Dealer, and branch office compliance regulations

Calendar, task, and meeting arrangements; commission tracking and follow-up

Brokerage Services to include account establishment, asset transfers, maintenance and termination

Preparation of investment documents, product literature, and compliance-required agreements for client meetings

Computer Software and Experience:

MS Word, MS Outlook Express, Excel, Windows Mail, Redtail CRM, Maximizer CRM, Skype IM, Docusign, Last Pass, Dropbox, CRM database for Estate Planning, Authorize.net (credit card data base)

E-Office Advantage, I-Station, Albridge and Wealth Monitor, NetX360 (all considered broker/dealer software), DST Vision (client account tracking software)

Certificate of Completion for Administrative Medical Specialist with Medical Billing and Coding + Medical Terminology

Employment History:

Client Admin Associate, Centaurus Financial, Inc., and The Estate Planning Team, Indian Wells, CA, 1-16 to 9-18

Branch Office Manager, Sterling First Financial, Palm Springs, CA - 6/9/2014 to 6/1/2015

Client Service Manager, Mentor Capital Management, Rancho Mirage, CA – 12/1999-2/2014

Background Experience:

Legal Secretarial experience, as well as assisting in Sales and Advertising for a major Advertising Firm; Proposal Coordinator for a Software Mainframe Company; various administrative temp assignments at large corporations, i.e., Waste Management, Time Warner.



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