Customer Service Information

ZEFFRIA ROBINSON

**** ***** ****** **. ********, TX 77469

***************@*****.*** 281-***-****

Branch Office Administration ~ Operations Associate ~ Special Projects

Finance Professional with over 20 years experience in supporting Sales Representatives, Branch Office Administration, Corporate Operations, and Special Projects. Have extensive experience in supporting brokers and clients via email, telephone and through face-to-face meetings, consistently meeting and exceeding customer service expectations. Possess strong organizational and time management skills, which contribute to ability to adapt to changing environment and work effectively with others. Have demonstrated ability to learn and show efficiency on new programs and projects in a timely manner. Consistently recognized for promptness and strong teamwork, with history of building strong teams and being recognized by co-workers as go-to-person for training and support on special projects. Core strengths include:

Anti-Money Laundering

Time Management

Organizational Skills

Trading Platforms

Special Projects

Account Set-Up

Know-Your-Customer (KYC)

Information Solutions

Research Skills

PROFESSIONAL EXPERIENCE

Veterans Sourcing Group 2014 - 2016

Valic AIG Houston,Tx

Broker Dealer Operations Associate

Cashiering Department

Verifying deposits logs daily to makes sure funds were deposited to appropriate accounts

Verifying accuracy of positions transferring into clients accounts from other firms

Scanning information to clients accounts

Monitoring incoming faxed information and assure completion of transaction

Monitoring the completion on IRA distributions and account withdrawals

EDELMAN FINANCIAL SERVICES – HOUSTON, TX 1995 – 2013

Operations Associate

Supported the organization through multiple acquisitions and mergers including Harris, Webb & Garrison merger with Sanders, Morris, Harris and subsequently to Edelman Financial, ensuring a seamless transition for clients and brokers.

Supported the reorganization of the Houston office by reviewing work flow with staff and training individuals as needed to ensure knowledgeabl e transfer of duties, which enabled the company to continue to meet affiliates’ and customers’ needs.

Processed approximately 2000 new accounts annually with assets in excess of $389 million annually, verifying accuracy of information ensuring account holders information was completed and that individuals were not on high-alert or watch lists.

Identified individuals that were on high-alert list, conducted further research and presented information to compliance, which avoided potential liability for the organization.

Process account transfers, received statements from clients and reviewed information identifying which accounts could be transferred and which accounts had to be liquidated with current investment firm.

Utilized LexisNexis and EquiFax in rating client risk levels, which enabled accurate review prior to opening accounts, resulting in approximately 90-95% of accounts being opened.

Facilitated the booking of client trades for IPO stock purchases, which entailed manually booking shares to individual accounts and allocating quantity for each of the accounts from bulk purchase by Company.

Served as Cashier, booking checks received from clients’ accounts, transferring (journaling) funds between accounts, and initiated wire transfers as per client instructions, following specified guidelines for wires in excess of $500,000.

Prepared and sent Privacy Policy Letters upon opening accounts reconfirming information provided and reaffirming company information which ensured client’s privacy and compliance with SEC requirements.

Updated client information including address, phone numbers, employment status or other personal information as needed to maintain account accuracy.

Processed Options Trading applications for Senior Registered Options Principle’s (SROP) approval, which increase income by selling options versus selling stock.

Processed portfolio evaluation activation, which established clients’ portfolio, pulled client into the system and provided clients with history of trading activity on both buys and sells

Reviewed NSF Check Report daily, notifying clients shortages and made recommendation for either transferring funds or selling options to cover shortage, subsequently returning or clearing checks based on conversations with clients.

Verified potential signature violations that were identified by Pershing Bank, determining whether signature was clients’ or if there was potential for fraud, which resulted in calling the client, if necessary, to verify signature, reducing financial risks and liability.

Researched “Fraud Alerts” generated from abnormal use of bankcards, calling clients to verify usage of cards, which reduced financial loss and ensured client satisfaction.

Process W8 and W9 to clients’ accounts for clients with both United States and Foreign presence, completing due diligence which determined client eligibility to trade in the US

Trained new and current employees on Pershing Clearing House platform, as well as procedures and processes for setting up new accounts.

Interacted with customer in promoting the “Go Green” initiative that promoted paperless billing and reporting for clients and brokers, which reduced processing fees charged by Pershing Clearing House.

Completed on-line and written study program, successfully completing off-site testing, which resulted in receiving the Series 99 Operations Specialist License, which increased knowledge of trading practices and increased ability to identify potential red flags improving security of funds

PAINEWEBBER GROUP INC. - HOUSTON, TX 1994 - 1995

Wire Operator

Supported over 30 brokers consecutively, manually entering over 25,000 buy and sell tickets on equity bonds annually, entering brokers’ written orders into system and attaching confirmation.

Assisted with reversing buy/sell transactions when brokers advertently processed wrong transaction request; identified shortages and determined responsible party depending on transaction.

Followed up on unexecuted orders with trading exchanges when brokers put in an order with lower prices than market price and notified broker that the trade could not be completed.

MERRILL LYNCH - HOUSTON, TX 1985 – 1994

Wire Operator

Supported the organization in various roles being promoted from Cashier to Bookkeeper and subsequently promoted to Wire Operator, as the result of outstanding work performance and teamwork.

EDUCATION & LICENSES

BS Foods & Nutrition - Southern University, Baton Rouge, LA

Edelman University – Communications, Workplace Diversity, Ethics Compliance

FINRA Certification and Continuing Education

LICENSE: Series 99 (Operations Specialist)

TECHNICAL SKILLS

Microsoft Professional Suite (Word, Outlook, Excel)

Pershing NetX360, Adobe Acrobat, LaserFiche

Clearing Firm Platforms: Pershing, Pershing Advisors Solutions

Information Solutions: ePort-Equifax Systems, LexisNexis Systems

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