Susan (Sue) Guoin

***** ******* ****, *********, ** 48350

248-***-****

acx7zb@r.postjobfree.com

Professional Experience

CAPTRUST FINANCIAL ADVISORS / FREEDOM ONE RETIREMENT SERVICES, Clarkston, MI

June 2010 November 2016

Recordkeeping Transaction Analyst / Transaction Coordinator

Maintained a strong working knowledge of the plan provisions for over 250 401(k) plans, regularly

reviewing their Adoption Agreements as well as IRS and DOL regulations regarding the

processing of 401(k) loans and distributions to ensure that the plans were kept in compliance.

Reviewed and approved participants 401(k) loan and distribution requests, assuring that the

requests were complete and accurate, the participants were eligible, and that the plan provisions

allowed for such requests.

Verified that distribution transactions, including vesting, were accurate and complete before

trades took place.

Confirmed that distribution and loan checks, including the 1099 reporting, were correct before the

final check issuance.

Created Amortization Schedules and Truth in Lending documents and then worked with Clients

on setting up the payroll deductions for participants new loans.

Worked with Plan Processors and Payroll Contacts for uploading participants payroll earnings,

deferrals and census information into our system.

Monitored that loan payoff checks were received by Fidelity and then applied to the participants

account.

Worked closely with many of our Teams; Compliance Team - assisted in the annual auditing

process for each 401K plan, Conversion Team - played a role in the conversion and de-

conversion process for plans, and Call Center - worked as a team to meet the timelines of

participants requests.

Assisted Financial Advisors and Relationship Managers in meeting the needs of our Clients.

BASC MFG., INC. / SHELVING + RACK SUPPLY, INC., Commerce, MI

August 1995 June 2010

Administrator / ISO Coordinator

Responsible for order entry, invoicing, purchasing, receiving and vouchering payables, tracking

and scheduling production, month end reporting, bank deposits, and training personnel.

Assisted in Human Resource duties as needed.

Responsible for the adherence to the ISO 9001:2008 Quality Policy Manual and Procedures by

conducting Internal Audits and coordinating ISO Certification Audits.

Prepared and controlled Quality System documents and records as well as accumulated and

evaluated data for quarterly and annual reporting.

STATE FARM INSURANCE GAYE SKERRATT AGENCY, Port Huron, MI

February 1993 July 1995

Office Manager

Interacted with policy holders to explain premiums and payment methods along with analyzing

insurance programs and suggesting additions or changes to suit their needs.

Worked closely with State Farm Corporate and other independent agency employees in

processing claims and problem solving.

Skill Set

Microsoft Office

Relius

Netsuite

LibertyNet

Macola Progression Accounting/Inventory Control

Training and Certifications

Retirement Plan Fundamentals Exam 1 Certified

Education

St. Clair County Community College, Port Huron, MI

Associates, Business Administration

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