Client Service Associate (Financial Industry), Executive Assistant
Resume:
Shawn K. Donlin
Houston, TX 77042
***********@*******.***
Professional Summary:
Performance-driven individual with ability to work well within a team to provide exceptional service to clients and co-workers, utilizing a wealth of knowledge obtained from 23 years of experience. Possess strong skill set that is highly applicable to many different industries.
Employment History:
RBC Wealth Management 02/12 – 05/18
Houston, TX
Sr. Registered Client Associate / Sr. Branch Service Manager
Assisted Financial Advisor(s) and clients with daily administrative duties including executing trades, coordinating movement of cash and/or securities within the firm and to/from other financial institutions, providing account/research information as needed to clients, handling correspondence between FA(s) and clients. Provided support to FA(s) regarding trade adjustments, licensing issues, compliance issues, expense reports, maintaining client files, preparation of performance reports and serving as liaison between management and FA(s). Assisted several new FA recruits with new account opening and transfer of their books of business.
Assisted Branch Director with branch-related duties including branch calendar management, scheduling of on- and off-site vendor meetings, review/approval of incoming and outgoing correspondence, review of monthly branch expense chargebacks, maintaining branch supervisory log, making travel arrangements, filing expense reports, coordinating the onboarding of new FA recruits/teams and maintenance of monthly annuity and insurance policy logs.
Supervised support staff, conducted monthly staff meetings and annual performance reviews. Served as a liaison between support staff and complex level management. Served as backup to Operations Associate – processing daily deposits, issuance of client checks, processing incoming/outgoing mail and faxes.
Recipient of two national quarterly awards of excellence and one annual national award of excellence.
Morgan Stanley Smith Barney 06/09 – 02/12
Houston, TX
Registered Client Service Associate
Assisted Financial Advisor(s) and clients with daily administrative duties including executing trades, coordinating movement of cash and/or securities within the firm and to/from other financial institutions, providing account/research information as needed to clients, handling correspondence between FA(s) and clients. Provided support to FA(s) regarding trade adjustments, licensing issues, compliance issues, expense reports, maintaining client files, and serving as liaison between management and FA(s). Assisted several new FA recruits with new account opening and transfer of their books of business.
Citigroup / Smith Barney 09/04 – 06/09
Houston, TX
Registered Client Service Associate
Assisted Financial Advisor(s) and clients with daily administrative duties including executing trades, coordinating movement of cash and/or securities within the firm and to/from other financial institutions, providing account/research information as needed to clients, handling correspondence between FA(s) and clients. Provide support to FA(s) regarding trade adjustments, licensing issues, compliance issues, expense reports, maintaining client files, and serving as liaison between management and FA(s). Coordinated quarterly reviews between FA(s) and high net worth clientele. Helped coordinate periodic client seminars including pre- and post-event communications.
Morgan Stanley DW Inc. 06/02 – 09/04
Houston, TX
Registered Client Service Associate
Assisted Financial Advisor(s) and clients with daily administrative duties including executing trades, coordinating movement of cash and/or securities within the firm and to/from other financial institutions, providing account/research information as needed to clients, handling correspondence between FA(s) and clients. Provided support to FA(s) regarding trade adjustments, licensing issues, compliance issues, expense reports, maintaining client files, and serving as liaison between management and FA(s). Coordinated quarterly reviews between FA(s) and high net worth clientele.
PaineWebber Inc. 08/94 – 06/02
Houston, TX
Registered Client Service Associate
Assisted Financial Advisor(s) and clients with daily administrative duties including executing trades, coordinating movement of cash and/or securities within the firm and to/from other financial institutions, providing account/research information as needed to clients, handling correspondence between FA(s) and clients. Provided support to FA(s) regarding trade adjustments, licensing issues, compliance issues, expense reports, maintaining client files, and serving as liaison between management and FA(s). Assisted with stock option exercise transactions for high-level executives at a major local Oil & Gas company.
Education:
University of Houston, Central Campus
Bachelor of Arts, Psychology
Dean’s List – 4 Semesters
Graduated 05/94
Current Licenses:
Series 7 (12/95) Series 9 (06/14)
Series 63 (02/96) Series 10 (12/13)
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