Customer Service Manager

BRAD FALK

****.*****.****@*****.*** • Mobile 818-***-**** • www.LinkedIn.com/in/BradDavisFalk

SUMMARY

Securi ties industry operations professional. Proven ability to develop and manage

cost effective, on-time operations that support rapid business growth, exemplary

client service, and compliance with laws and regulations.

PROFESSIONAL EXPERIENCE

Office Operations Manager 2000 to 2013

Kaye Capital Management Los Angeles, CA

Registered Investment Advisory firm serving high net worth individuals and related

privately held company pension plans. Approximately $150 million under management.

Provided full operational support to the fi rm’s partners enabling them to focus on

client service and business development. In addition, served as the operational

point of contact for clients and broker-dealers. Trained and supervised part-t ime

office staff.

S ignificant Accomplishments:

• Ensured that systems, policies, and procedures were in place to support the

partners and clients as the fi rm grew from $40 million to $150 million of assets

u nder management. Efforts resulted in fi rm’s ability to cost effectively handle

t he growth while meeting customer service goals and complying with laws and

regulations.

• Developed relationships of t rust and confidence with the fi rm’s new and existing

clients. Prioritized being readily available to them. Responded to all of their

questions that didn’t require a securities license. Solved their problems. Efforts

contributed to the fi rm’s record of above average client retention and generation

of client referrals.

• Planned and implemented system conversions that increased partner

p roductivity, improved customer service, and reduced operating expenses.

P rojects included automating client scheduling, forms, files, distribution notices,

s tatements, and billing. Managed the installation of a local area network.

• In addition to conversions, reviewed and scrubbed databases to ensure accuracy

of information and reports.

• Managed a change of broker-dealers from Royal Alliance Associates to Fidelity.

Worked with clients to help them agree to the change and complete all necessary

paperwork to move their accounts. Over 99% of clients agreed to make the

switch. Completed project on time and within budget.

• Documented office policies and procedures into a t raining and reference manual

t hat facilitated onboarding, t raining, and supervision of office staff.

• Successfully prevented any securities violations or client confidentiality breaches

or losses.

Brad Falk

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PROFESSIONAL EXPERIENCE (Continued)

Senior Margin Analyst, Margin Analyst 1996 to 2000

J.B. Oxford & Company Beverly Hills, CA

$67 million online brokerage and regional clearinghouse acquired by Ameritrade in 2004.

Managed Margin Department responsible for monitoring clients’ compliance with

margin requirements and rapidly resolving non-compliant situations . Oversaw six

b ranches and a total staff of seven. Worked with senior managers, branch manager s,

compliance staff, clients, and regulators to ensure protection of clients’ assets and

compliance with the fi rm’s polices and securities laws and regulations.

Significant Accomplishments:

• H ired as a Margin Analyst to oversee the cashier functions and margin analysis

for three branch offices, including the f lagship Beverly Hills Office. Promoted to

Senior Margin Analyst after two months.

• Earned senior management’s confidence as a person who could work with

d ifficult clients and internal staff to ensure that both the fi rm and clients did

w hat was necessary to comply with contracts and securities laws and regulations.

• Identified and resolved a $400,000 margin exposure for the fi rm in less than a

day.

• Reviewed Department’s processes and workflows. Developed several macros that

f reed up staff to devote more time to valued-added analytical work.

• Joined a department with low morale and high tu rnover. Worked with staff to

u nderstand the cause of their dissatisfaction. Implemented changes that reduced

t u rnover 50%.

Progressively Responsible Securities Industry Positions 1993 to 1996

COMPUTER SKILLS

Expert user of MS Word, Excel, Access, and PowerPoint, CRMs including Sage ACT,

and ADP/SIS. Database administrator. Optical recognition and scanning technology.

Learn and implement software and hardware easily and with enthusiasm. Lead

change management efforts to t rain colleagues and facilitate their adoption of new

systems and processes.

EDUCATION

AA, Santa Monica College, 1995

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