Customer Service Human Resources

Edward Yap

*** ********** ******

San Francisco, CA 94132

*******@*****.*** / 415-***-****

Summary

** ***** ** ********** ** the Financial Services industry. Strong background and experience in relationship building for new and existing clients, quality assurance and compliance in a regulated industry. Diversified skill sets covering executive administrative support, human resources and special project. An effective communicator who performs equally well both independently and as a team member.

Professional Experience

Charles Schwab & Co., Inc. San Francisco, CA 2000 – 2013

Corporate Oversight / Office of Corporate Counsel (10/2005 -10/2013)

Legal Support Specialist

Conducted regulatory monitoring for subpoena documents and worked directly with various regulatory agencies such as FINRA, IRS, FTB, DOL, SEC and FBI; researched and monitored AML activities and possible fraud; worked with marriage dissolution, bankruptcy, probate cases and other third party dispute; negotiated with attorneys for subpoena responses and arranged court appearances. Other duties included, researching checks requests, invoice billings; hotline calls and TPA field inquiries and trained new personnel. Also, provided administrative support to other departments including; maintenance of large multi-function copiers, fax machines, and ordered office supplies for the department.

Streamlined the process for incoming subpoenas by filtering invalid subpoena filings and sending a reject letter instead of opening a case matter, the outcome resulted in a 35% reduction in actual case matter and processing time.

Liaised with other departments and implemented an email inbox specific for our department, which improved our turnover process request by 75%.

Corporate Record Management (4/2003 - 10/2005)

Research Specialist II

Researched time sensitive document request from various departments including, AML, Corporate attorneys, Retirement Services, Compliance Department and Account Operations.

Provided technical support and trained new and existing employee.

Appointed as an XP Coordinator for the XP migration, and oversaw the entire migration including printer server setup and hands on training.

Pioneered and incorporated the new eCopy software system which enabled Microfiche files to be transmitted electronically via e-mail, and saved the company six figures in cost and services.

Alternative Investments Department (7/2001 - 12/2002)

Operations Specialist II

Analyzed and reviewed incoming & outgoing account transfers (ACATS/ Non ACATS); liaised with clients in the sale of limited partnerships and REITS in IRA accounts; processed dividends and equity fund payments; reconciled balance sheets and account statements; researched stock breaks, aged items and extensive customer service to internal and external clients.

Implemented incoming and outgoing error tracking program and reduced transfer errors from ten to two per month for an 80% reduction. Program was later adopted by four regional departments.

Securities Operations Department (7/2000 - 07/2001)

Operations Specialist I

Point of contact for exercising employee stock option grants; coordinated and placed large order approval for stock option trades; managed daily receipt of physical stock certificates over 30 million in value; reconciled and generated daily balance sheets and fund statements; facilitated incoming and outgoing transfer of mutual funds accounts; handled investor relations and hotline calls.

Participated in implementing mail tracking system for all incoming mails which was made available to everyone in the department to track, resulting in zero errors from six per quarter to zero for three consecutive quarters.

Software and Technical Skills

MS Office Suite (Word, Excel, PowerPoint, Outlook)

Adobe PDF, 10-key, Legacy, On-Demand, ACS System, OMNI, SWISS Workflow, Call Trace Report, Client Central, SPIN system, Interwoven, iManage, MARS, Roxio CD Creator

Stock research trading software, i.e. StreetSmart Edge, tradeMonster, VectorVest

Educational Background

Associate Degree in Finance 2003 – City College of San Francisco

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