Sales Life Insurance

RANDY W. SUSANA

acy3sz@r.postjobfree.com

* ***** **** *** • GREENWICH, CT 06830 • C-347-***-****

EXPERIENCE

February 2013 – Present Transamerica Financial Life Insurance Company Harrison, NY

Sr. Accountant/Mutual Funds Operations Specialist

Work with Pricing/Investment Management areas to provide outside fund trading and revenue collection related information. Utilize all available resources including Sunguard, Vanguard, Fidelity, contract information on file, direct contact with the fund families, and other internet based sources to gather all required data. Respond to sales desk and wholesaler data inquiries received via e-mail or telephone.

Keep in regular contact with fund families and address relationship issues related to contract terms or revenue collection. Solicit and verify information related to new and existing funds.

Maintain a shared database of mutual fund related fee information that is accurate and up to date at all times. Look to implement process improvements. Maintain files which substantiate all the information on file for each fund family. Maintain an awareness of revenue changes and their impact on disclosure requirements.

Coordinate the preparation of fee collection compare between accounting records versus vendor records.

Oversee the revenue reconciliation process to insure that variances and addressed and collection occurs.

Fund Changes/Mergers- Work with fund families to understand the impact of fund changes/mergers as they relate to the funds on the system. Communicate fund changes to various internal groups as well as reflect the changes on the system.

Review and respond to 22c-2 requests received from fund families. Support Transaction Monitoring Committee with running and reviewing system generated reports.

Support to broker/dealer operations financial reporting and the annual audit by providing substantiating documentation for revenue collection and the due and unpaid amounts.

Lead special projects as assigned.

June 2011 – February 2013 Guardian Life Insurance Company/RS Mutual Funds New York, NY

Sr. Trade Reconciliation/Sales Data Analyst

Researched, assessed and validated the accuracy of all Mutual Fund, Life, Disability, 401k and Annuity trades with an emphasis on Mutual Fund research of NSCC trades [i.e.: networked, platform based, RIA, etc.].

Responded to sales desk and wholesaler data inquiries received via e-mail or telephone.

Maintained orderly records of all decisions generated during the normal course of business.

Analyzed and manipulated various omnibus detail files to facilitate updating the company CRM system.

Pursued the continuous improvement of the mutual fund data integrity through aggressive research and detailed review of institutional transaction detail.

Build and maintained operational relationships with all MF platform partners [Schwab, Fidelity, Pershing, etc.].

Executed full system testing and assisted with Functional and UAT testing by tracking all defects and resolutions

October 2007 – June 2011 AIG Advisor Group New York, NY

Mutual Funds Trading Desk Supervisor

Responsible for the training and development of staff.

Evaluated employee performance, identified areas for improvement and managed productivity by communicating goals and expectations.

Supported the field force by overseeing daily mutual fund trading activities for network level 3/NSCC IRA, retail, wrap-fee and third-party managed accounts.

Assisted sales force with inquiries regarding mutual fund products, policies and procedures.

Worked closely with Investment Products and Research Team establishing mutual fund selling agreements.

Delivered presentations at workshops for the purpose of training and developing field force.

Prepared documentation and presentations for training sessions on trading platforms.

Assisted Technology group troubleshoot systems on new updates for trading platforms.

Assisted Compliance Department in various aspects of NASD audits to ensure compliance with industry regulations.

Interacted as liaison between financial advisors and mutual fund companies.

May 2007 – October 2007 AIG Advisor Group New York, NY

Commission Analyst (Consultant Position)

Set-up of compensation rates and direct deposit information for financial advisors.

Processed adjustments of compensation payments.

Responded to inquiries from financial advisors.

June 2005 – May 2007 Smith Barney New York, NY

Mutual Funds Project Analyst

Identified population included in regulatory settlement and analyzed all mutual fund transactions in client accounts.

Prepared financial reporting for management of project costs and projected settlement costs.

Lead design and code reviews, defined standards, recommended and established policies for database creation.

Conducted verification testing of systems calculations for settlement offerings.

Coordinated check payment process for accounts included in the settlement.

Negotiated settlements and provide written summaries of investigations to regulators, clients and attorneys.

Responsible for researching and responding to sales practice related client complaints.

Responded to client inquiries, both verbally and written, regarding calculations used on the mutual fund regulatory settlement offer.

Interacted as liaison between financial advisors, systems area, legal department and external vendors.

Coordinated Call Center operations and trained Call Center service representatives.

Prepare documentation and presentations for training sessions for Call Center.

July 1997 – June 2005 AIG-Royal Alliance Associates, Inc. New York, NY

Mutual Funds Trading Desk Assistant Supervisor

Executed mutual funds orders called in by financial advisors and monitored transactions to ensure accurate execution.

Generated transaction corrections, accurately calculating losses/profits which were communicated to the accountable parties.

Interacted as liaison between mutual fund companies and financial advisors.

Processed loss and indemnification letters to fund companies for corrections of transactions executed directly at Fund Company.

Maintained, reviewed and monitored security master system for new and approved products available through the company’s online trading systems.

Produced weekly/monthly/quarterly gain and loss report.

Assisted with special projects and in testing for system upgrades to further trading system capabilities.

Reviewed accounts to ensure compliance monitoring for market timing, anti money laundering, commission processing and mutual fund companies reclaims.

EDUCATION

9/2004 – 4/2006 Monroe College Bronx, NY

B.B.A. in Business Management G.P.A.: 3.6

9/1998 – 6/2000 Baruch College New York, NY

Major: Business Management G.P.A.: 3.4

SKILLS

Financial Software: Netexchange Pro/360, Vision2020 Advisor, Pershing, DST Vision, Advisor Central, MARS and PeopleSoft. Strong knowledge of reconciliation processes.

Strong computer knowledge of the Windows platform (e.g., Excel, PowerPoint and Word). Working knowledge of Crystal Reports and AQT.

Fluent in Spanish.

Contact this candidate