Client Service Customer

SHERYL LIM m: 858-***-****

***********@*****.***

PROFESSIONAL SUMMARY

Vision-driven change agent with career-long record of technical operations management, financial management, & client service excellence for leading organizations

Proven talent for aligning business strategy & objectives with established financial & operations management paradigms to achieve maximum operational impacts with minimum resource expenditures. Growth-focused thought leader with expertise spanning interdepartmental communication, invoice documentation, financial disbursements & transfers, database maintenance, event facilitation, administrative support, website & web portal maintenance, call scheduling, technology solutions, handling secure client materials, relationship management, & project management. Exceptional administrator with keen interpersonal, communication, & organizational skills, as well as account management, professional development, & customer service expertise.

PROFESSIONAL EXPERIENCE

CARTER FUNDS, LAS VEGAS, NV (REMOTE), JULY 2022 TO DECEMBER 2023 Due Diligence Associate

Built relationships between internal departments & third-party vendors to identify gaps & opportunities for improvement

Collaborated with cross-functional teams to implement improvements to sales effectiveness, process, & strategy resulting in decreasing processing time of due diligence questionnaires by 50% & 10% increase in sales revenue

Developed & outlined the standard operating procedures for various processing functions to enhance the internal staff’s skills & knowledge & to enhance external user experience. Provided customer support in sales & communications

HIGHTOWER ADVISORS, LAS VEGAS, NV, JUNE 2022 TO JULY 2022 Client Service Manager

Served as the first point of contact for clients & visitors in the office & by phone

Liaise with colleagues to help solve our client’s wealth-related needs

Process new account documentation, client requests, & team-related needs

Assist Wealth Advisors with administrative & operational functions WEALTH CONSULTING GROUP, LAS VEGAS, NV, May 2021 to June 2022 Client Service Associate

Reviewed & revised know your client (KYC) documents & databases for over 150 clients monthly & updated their profiles as needed in the database systems with 100% accuracy

Independently processed daily client transactions, ensuring accuracy & attention to detail while meeting tight deadlines reduced errors by 30%

CRM (calendar) management & scheduling & confirming of client appointments

Processed, new account openings, account transfer, wires, check request, distributions, & contributions

Notarized Client Signatures & Documents

KYOCERA AMERICA, INC., SAN DIEGO, CA, July 2019 to March 2021 Operations Reporting Analyst 3

Analyzed & reported on sales & operational data to identify processing & planning efficiency

Collaborated with Sales leadership to develop & implement budget planning & quota setting processes

Analyze & maintain Kyocera’s internal reports (Hourly Efficiency) by identifying & solving financial data information

& processing problems

Own departmental operations reporting & drive the completion of multiple projects in partnership with departmental leadership teams

LPL FINANCIAL, LA JOLLA, CA, December 2018 to July 2019 Administrative Solutions Consultant

Coordinated the daily operations of 5 RIA advisor offices, ensuring that all task were completed accurately and on time; improved overall efficiency by 30%

Researched complex issues and questions for clients & advisors to provide accurate solutions leading to an increase in customer service by 24%

Expedited resolution processes for over 150+ client inquiries each month with a 99% accuracy rate

Analyzed processed & generated reports for advisors to ensure accuracy, identified discrepancies leading to a 10% reduction in not in good order (NIGO) items

CRM (calendar) management & scheduling of client appointments

Effectively handled transactions ranging from new account opening, deposits/withdrawals to transfer of payments worth $1M+ monthly while adhering to all relevant compliance regulations at all times

Experienced with DocuSign & CRM applications such as Salesforce & Redtail ARTIVEST (FORMERLY ALTEGRIS INVESTMENTS), LA JOLLA, CA, March 2017 to November 2018 Client Service Analyst March 2017 2018 to November 2018

Provided dedicated operational & sales support to multiple Financial Advisors in a fast-paced environment assisting in areas of practice including business management, development, planning, relationship management, service & administration to maximize high-net worth client sales & productivity

Assisted financial professionals in the processing of subscriptions, redemptions, & account updates relating to alternative investments & assist in the transition of business from manual processing to Artivest technology CETERA FINANCIAL / FIRST ALLIED SECURITIES (FASI), INC., SAN DIEGO, CA, June 2008 to December 2016 Product Marketing & Strategic Relations Coordinator, August 2014 to December 2016

Orchestrated Partner participation in the National Conference & reimburse travel expenses

Planed & facilitate Lunch & Learn events for the Strategic Partner & internal staff

Conduct special reporting projects for the Strategic Relations team

Liaise with partner advocates across all 10 broker dealers & inform the B/D’s of pertinent information

Maintained the connection call calendar & schedule outlook meeting requests for all connection calls Transfer Specialist/Operation Associate, October 2012 to December 2016

Accountable for the entire transfer process from receipt of a work item through to its resolution within established or acceptable guidelines

Managed liaisons between offshore team, clearing firm, & advisors

Trained & supervised offshore team & exercise quality control

Approved Branch Deposits & checked incoming mail & deposited stock certificates

Assisted advisors with client accounts due to insufficient funds checks & signature violations

Utilized technical knowledge in LaserFische, Morcom, & NetX 360 Mailroom Associate, August 2010 to October 2012

Pinpointed customer needs & provided value-driven solutions by recommending corresponding products & services

Organized & managed mailroom supplies & duties

Prepared UPS, FedEx, & USPS shipments & ordered & shipped materials to advisors

Created & maintained SOPs for the mailroom

Cashiering Specialist, January 2010 to July 2010

Provided advisor support for Central Team Region

Updated periodic ACH, Check Requests, & Journals

Performed data entry & scanned secure materials for customer accounts that included account numbers, documentation types (ACH, Check Requests, Retirement Distribution forms), & document classification

Processed & approved IRA distributions

Executed DRS, incoming full & partial Account Transfers, & DTC requests Commission Accounting Specialist, June 2008 to Jan 2010

Disbursed commissions for advisor accounts

Billed advisor for technology & other related fees & paid out advisor management fees

Reconciled advisor accounts monthly

Created spreadsheets for record keeping & procedure (SOP) manuals for departmental training

Balanced monthly reports & analyzed broker dealer profit reports

Processed recurring adjustments & reconciled trades & monthly checks TD AMERITRADE, SAN DIEGO, CA, September 2004 to June 2008 Cash Management Associate

Identified customer needs & provided value-driven solutions by recommending products

Trained associates in software skills, customer service skills, & internal customer support using company procedures & guidelines

Processed transfers of funds & ordered checks for clients

Exercised quality control for customer accounts & departmental requirements for generating hardcopies for securities while qualifying & depositing checks & retirement distributions

Updated periodic ACH, Check Requests, & Journals

Performed data entry & scans of secure material for customer accounts that included account numbers, documentation type (ACH, Check Requests, Retirement Distribution forms), & document classification EDUCATION & CREDENTIALS

BACHELOR OF SCIENCE (B.S.) IN INFORMATION SYSTEMS, 2003 National University, San Diego, CA

NOTARY PUBLIC CERTIFICATION, 2021

Las Vegas, NV

AWARDS & HONORS

Employee of the Quarter, Altegris Investments, January 2018

Employee of the Quarter, First Allied Securities, October 2016

1 in 100 Award, First Allied Securities, September 2012

Employee of the Month, First Allied Securities, September 2010 ADDITIONAL INFORMATION

Technical Proficiencies: MS Excel, Word, PowerPoint, & Project, Oracle, SalesForce, PeopleSoft, Concur, WebEx, ADP, FISERVE, Pershing Netx360, Vantive, LaserFische, Comptapi & AWD Imaging, JP Morgan Morcom, RemitPro, FedEx, UPS, & USPS Shipping, DST Vision Systems, Papervision, SEI Investor Portal, WealthVision, DocuSign, Redtail, Outlook, SAP

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