Administrative Assistant Financial

Objective

Insurance and financial professional with over 30 years of industry experience, proficient in all administrative tasks for large and small organizations, looking for new opportunities in the financial and/or insurance industries.

Experience

Harry Katz & Associates November, 2001 – December 2015

Financial Planning

Administrative Assistant

Prepare account paperwork for opening new accounts and transfers

Prepare and execute Reg 60 disclosures, as per NYS requirements

Oversee transfer process

Handle beneficiary changes and transactions

Process incoming checks and screen account paperwork for accuracy

Assist advisors in ensuring all regulatory and compliance issues are followed and addressed.

Maintain contact with clients

Client first attitude

Set appointments

Prepare client reviews

Knowledge of variable annuities, mutual funds, life insurance, health insurance, and various pensions (ie 401k’s, DBPs)

Liaise with broker/dealer

Work with investment company wholesalers for preparation of sales proposals

Work with TPA's for the administration of pensions (401k’s, DBPs, etc.)

Seaboard Securities 1999-2001

Margin Clerk/Operations

Cambridge Capital 1997-1999

Registration Manager & Assistant to the Compliance Officer

Lew Lieberbaum LLC 1992-1997

Assistant to the Syndicate Manager/Fixed Income Advisor

Charles C. Senator, New York Life 1984-1992

Office Manager/Registered Insurance Agent

Skills

Conversant in all major Microsoft products, financial wholesaler’s systems and insurance industry web applications.

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