Customer Service Quality Assurance

Corinna Gonzales

*** ****** ****** **., *********, TX 76018 ***-***-***********.********@*****.***

Summary More than 20 years of experience in financial services

and servicing clients. Served in a variety of

operational and service positions specializing in high

net worth clients.

Licenses Hold the Series 7: General Securities Representative

license, the Series 63: Uniform Securities license

and the Series 24: General Securities Principal

license.

OSJ/Compliance Manager

March 2014 to Present –Advisor Office, Plano, TX

Experience

Monitor the activities and provide direct supervision of

Branch Office Manager and Registered Representatives.

Review daily advisor activities including trades,

incoming/outgoing checks, and written and electronic

communications/correspondence and advertising in

accordance with company policies and FINRA guidelines.

Review and accept or deny outside business activities of

office personnel. Provide monthly and quarterly reports

and blotters to home office as directed in the written

supervisory procedures.

Premium Services – Eagles

October 2011 to April 2013 – 1st Global, Dallas TX

Joined the Premium Services department to build and

maintain relationships with top producing financial

advisors and to ensure proper handling of escalated

issues. Serve as the liaison between the back office

departments, top producing financial advisors and

clearing firm’s operations groups. Assist advisors in more

efficient ways to conduct business.

• Quality Assurance Scores Exceed

Expectations

• Transitions Assistance - Supported

the transitions team by providing tactical

knowledge and support to facilitate the on-

boarding of firms. Presented as a contact for

business transition needs, including answering

questions about paperwork requirements for

new accounts, block transfers and transfer of

accounts. Provided customer service to the

transitioning advisor and was instrumental in the

relationship building between the advisor and

the broker/dealer.

Document Management System Coordinator

(Docupace)

March 2011 to October 2011 - 1st Global, Dallas, TX

Assisted in development of a paperless office solution.

Also responsible for on-boarding the field, training and

documentation. Worked with internal staff to determine

current processes, procedures and future needs.

Determined system integrations to create sales

presentation for on-boarding. Worked with management

to determine pricing structure for product.

Operations Consultant

October 2008 to March 2011 - 1st Global, Dallas, TX

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018, 817-***-****, *******.********@*****.***

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018 ***-***-***********.********@*****.***

Responsible for providing continuous guidance,

improvement and solutions through quality assurance,

quality control, productivity and documentation review.

Responsible for creating, implementing and tracking

quality standards for back-office operations. Worked to

develop and maintain policy and procedure

documentation to ensure that all standards were being

met. Involved in or led in operational projects to monitor

impact to unassociated departments, to monitor the effect

on quality and documentation and to improve processes.

Acted as liaison between the back offices of the

broker/dealer and the Project Management Office.

Served as a point of contact for all broker/dealer

operational questions and escalations from all back office

departments as a subject matter expert. Developed and

documented the process that allowed capture and import

of client data, staff data, and company forms into several

company databases.

• Acting Cashiering Director February 2010 to

October 2010 - Expected to do all processing

functions as well as handle leadership

responsibilities. Distributed work, served as a

resource for questions and training, handled

escalated and complex issues and assisted with

overflow situations through personal efforts to

ensure Cashiering workflow was smooth and

managed. Responded to internal and regulatory

audits. Developed and implemented action

plans to improve processes and controls.

Worked to minimize firm exposure. The main

liaison between Cashiering and processing

groups on the floor.

• Various Operational Projects Including Productivity

Tracking

• Created and Developed Secure Staff Access

Process and Procedures

• Content Management Refresh – Reduced by 52%

• Assisted in Creating Operational Quality Control

Department

• Paperless Office Solution Project (Docupace)

Cashier

May 2007 to October 2008 - 1st Global, Dallas, TX

Deposited stock certificates, issued checks and stock,

processed distributions, moved assets between internal

and external accounts, processed wire requests,

prepared deposits, delivered deposits to the bank,

established systematic withdrawal plans, reviewed and

maintained reports, handled escalations while ensuring

that supporting paperwork and signatures were in good

order. Created and maintained department procedures.

Developed streamlined procedures that decreased labor

time and eliminated redundancies. Improved metrics

from below minimum acceptable standards to industry

leading levels.

Various Projects Including Productivity Tracking

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018, 817-***-****, *******.********@*****.***

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018 ***-***-***********.********@*****.***

Project for Same Day Processing of Checks from 35%

to 96%

Premium Services - Internal Support Specialist

April 2005 to May 2007 - 1st Global, Dallas, TX

Provided one to one personal contact with high net worth

firms in all financial services matters including operational

and sales support. Developed strong working

relationships with the firm’s financial advisors, wealth

management assistants and champion partners in order

to help them understand standard operational

procedures. Trained advisors to become more efficient,

taught them what resources were available, provided

ongoing monitoring of operational activities in the firm

and ensured regular operational feedback to the advisor

and firm as to any outstanding operational items. Studied

trends as well as maintained awareness of escalated

issues from the firms and discerned patterns and areas

for continuous improvement. Established ongoing

training opportunities for the firm’s administrative staff

using regular “agenda driven” weekly calls to cover

operational issues at the firm level.

Commission Projects

Firm Visits

Customer Service

March 2002 to April 2005 – 1st Global, Dallas, TX

Answered incoming calls and addressed issues

presented. Handled financial advisor emails,

maintenance items and day to day monitoring of work

requests. Worked with various departments to solve

outstanding issues. Effectively coached new phone staff.

Consistently recognized by advisors as delivering prompt

and thorough resolution to issues as well as going above

and beyond what is required. Covered numerous queues

including Eagle Services, Customer Service and Front

Desk/Reception.

Premium Services - Eagles (50% of the time)

Eagle Services –Point of contact for select, high

producing advisors. Responsible for building and

maintaining relationships with top producing financial

advisors and ensuring proper handling of escalated

issues.

Commissions Liaison

Account Services Director

February 2001 to March 2002 – 1st Global, Dallas,

TX

Responsibilities included the mentoring and supervising a

team of five to six employees. Managed account

workflows and delegated work appropriately. Developed

and integrated process controls for establishing customer

accounts. Handled escalated account related issues from

financial advisors and assisted team members with the

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018, 817-***-****, *******.********@*****.***

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018 ***-***-***********.********@*****.***

resolution of those issues. Performed continuous process

improvements to promote overall productivity and

accomplish corporate goals. Assisted and managed

various operational projects.

Successfully Redefined Process and Streamlined

Workflow

Reduced Staffing Needs by More Than 50%.

Cut “NIGO” Rate by More Than 90%.

Financial Advisor Services Specialist (Client

Services)

June 2000 to February 2001 – 1st Global, Dallas, TX

Handled heavy phone contact with financial advisors.

Responded to inquiries for status reports, requests for

information and problem solving. Co-directed between

six and eight customer service representatives.

Processed escalated calls and paperwork issues.

Responsible for IRA distributions as well as filling in as

Cashier when needed.

Various Operational Functions

February 1993 to June 2000 – Fidelity Investments,

Las Colinas, TX

Corporate Rollovers – Processed and analyzed

employer sponsored plans to be rolled over to Fidelity.

Roth Conversions–Assisted in the startup of the

department.

Brokerage Distributions – Processed and analyzed

brokerage distribution and contribution requests, including

systematic withdrawal plans.

Flex Force – Provided support during high volumes to

the following departments:

1. Brokerage New Accounts– Reviewed

applications and established new accounts

efficiently and accurately.

2. Mutual Fund Transfers of Assets– Produced

high volume output with emphasis on quality.

3. Corporate Rollovers Brokerage and Mutual

Fund– Generated precision applications and

files.

4. Retirement Redemptions– Analyzed

Systematic Withdrawal Plans and processed

redemptions and exchanges exhibiting high

attention to detail.

5. Brokerage Transfers of Assets– Recognized

for above average training level.

6. Legal Transfers

Mutual Fund New Accounts Representative– Processed

and analyzed new accounts and investment checks.

Monetary – Adjustments– Analyzed and corrected

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018, 817-***-****, *******.********@*****.***

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018 ***-***-***********.********@*****.***

customer purchases, exchanges and redemptions.

Fidelity Investments Mutual Fund Transfers of

Assets

April 1992 to February 1993 – TRC Temporary

Service, Las Colinas, TX

Transfers of Assets– Analyzed and processed IRA

applications, transfer forms and checks. Trained new

employees in all aspects of the transfer of assets process.

Worked closely with management on quality analysis

project. Assisted in development of Online Reference.

Corinna Gonzales

332 Valley Spring Dr., Arlington, TX 76018, 817-***-****, *******.********@*****.***

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