Service Sales

Vincent C Hennix EMail: *******@*****.***

**** **** **** ******, *** Jersey 08817 HOME 917-***-****

Client focused financial services professional who is excellent at mobilizing resources, collaborating effectively with internal groups, and leading a high impact team to deliver on mandates. Leads by example, wins trust and commitment of staff and motivates them to diligently work through challenges and time constraints to meet promised deadlines. Known for highly developed organizational skills, attention to detail and producing high quality work, minimizes risk to the bank and the client and expedites doing business.

Profile: Client Service, Compliance/ Risk Management and Project Management

JP Morgan Chase :New York, NY Jan 2012-June 2014

CLIENT SERVICE MANAGER

Profile:Client Service Project Management Compliance and Risk Management

• Performs relationship reviews and coordination with sales and relevant partner LOBs

• Provides oversight for the implementation function to ensure high quality, timely execution

• Facilitates the creation of an annual client plan across regional service teams

•Acts as the global escalation point for the client's head office and drives issue

resolution across regions

• Serves as a client advocate and liaises with various bank groups (including product

managers, operations, legal, etc)

• Monitors client satisfaction and performance to ensure that service levels and client

expectations are met/ exceeded

• Facilitates global client calls and presentations

• Educates clients on product solutions, service channels, and electronic/ self service options which best meet the client's needs

• Adheres to bank risk practices and educates clients on risk, legal and regulatory requirements

• Facilitates/ leads regular client service reviews, via both phone and on-site visits, to

fully understand the client's operation and tailor the service experience to the client's needs

• Performs client activity data analysis to identify issues/ trends/ opportunities and

performs root cause analysis to ensure that problems are resolved in a manner that prevents re-occurrence

• Identifies and addresses product/ service gaps and recommends solutions to the

client and to sales; implement add-on business/revenue and efficiency opportunities

and refers qualified new business opportunities to sales

• Provide consultative approach in relation to streamlining and improving both JPM and client operational processes.

JP MORGAN CHASE; NEW YORK, NY July 1984 – DEC 2011

Assitant Vice President

Managed the Documentation Control Unit, which includes all UK and US tax documents for master trust and custody clients in excess of $400 billion in assets serviced by Global Investor Services. Consistently promoted with increased responsibility to ensure the efficient safekeeping, recording, imaging and tracking of trust and custody agreements, corporate actions, clients’ and investment managers’ mandates.

COMPLIANCE AND RISK MANAGEMENT

• Coordinated investigation to reconcile discrepancies with over 24000 contracts with a large outsourcing company severing relationship with the bank. Interfaced with internal lawyers, senior management, relationship managers and the client to reduce risk for the bank, which acts as a custodian for 401K plans.

• Oversaw staff in reviewing and approving KYC documentation (including documents and photo IDs) for new and existing clients based on AML compliance policies and government guidelines.

• Coordinate reviews with Risk Management and Global Investor Services in preparation for internal and external audits to assist senior management and investigate all KYC issues for OCC and DOL.

• Comprehensively verify all account openings before scheduled funding date. Perform due diligence with resources retrieved from Bridger Insight and OFAC to fulfill SKYC.

PROJECT MANAGEMENT

• Initiated enhancements to core system (APS) working with programmers to enable attachment of documents into the system to cut down on production time needed for scanning.

• Project leader on remediation of clients over 1M with poor obligor rating. Reviewed all pertinent documentation related to new banking and compliance laws such as tax, KYC, secretary certificate.

• Oversaw a remediation project to examine 280 legal entities for an asset management firm whose company rating had dropped posing credit risk to bank. Trained overseas team to come up to speed to take over functions in India.

• Led a 4 month project interfacing with 15 colleagues representing 3 internal areas to coordinate an extensive effort to prepare for OCC audit involving 5,000 ERISA accounts. Made sure IRS determination and QPAM/1940ACT and SWEEP letters were in place.

• Managed resolution of system glitch caused by hurricane in Texas which corrupted APS database affecting images in I-Vault for over 6000 documents. Motivated team to work late nights and weekends racing against time to quickly scan documents into the system for client access, account opening and avoiding taxation at a higher rate.

CLIENT SERVICE

• Eliminated barriers to enable India to open new accounts for incremental business by working closely with quality control team to restore pertinent documentation due to system constraints

• Coordinated with sales, relationship manager and legal and system areas to formulate an easy one step on-boarding process for 565 clients changing capacity from in-trader to custodial client from Boston to Ohio office.

• Collaborated with five internal teams to expedite account opening for a top tier mutual fund/investment management firm. Communicated urgency of proper documentations to client’s senior management while securing options internally to circumvent constrains. Delivered on promised deadlines for this high revenue generating client.

• Spearheaded effort to consolidate document requirements for tier one insurance client doing business with different groups in the bank. Set up and communicated a streamlined process to make it easy for the client to comply with Patriot act.

• Researched constitutional law to interpret a code from a client company resolution delegating authority to Chiefs of sovereign accounts (Indian Reservation) and proved tax exempt status, enabling on-boarding of this large relationship without delays and upholding bank’s reputation for service.

• Rescued strained relationship with a tier one client with over 100 million in assets by proactively remediating 200 legal entities before scorecard evaluation. Demonstrated high standards in safekeeping of documents to avoid potential service issues impacting the bank’s rating.

EDUCATION

New York Technical College, New York, N.Y.

Completed Courses in Accounting, Business Law, English, and Mathematics

Samuel Gompers High School, Bronx, N.Y.

High School Diploma

Tutor to students in Mathematics, English, and Science

COMPUTER SKILLS & TRAINING

Proficient in various software applications including MS Windows and Excel as well as Lotus Notes

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