Customer Service Financial Services

CHRISTOPHER A. BASQUE

**** **** *********** ****, #****, Phoenix, AZ 85032

480-***-**** • *******@**********.***

FINANCIAL SERVICES OPERATIONS PROFESSIONAL

Key Strengths: People Skills, Brokerage Industry Knowledge, Financial Operations (Process & Procedure)

20+ Years of Experience in Financial / Brokerage Operations Industry with Uncompromised Commitment to Internal & External Customer Service Balanced by the Highest Degree of Integrity in all Relationships.

Bachelor of Science Degree, Business Management, Westfield State University, Westfield, MA Licenses: Series 7, 6, 63, 66, 9 & 10

Organization & Analytical Skills Detail-Oriented Problem-Solver Multi-Tasker; Handle Large Quantity of Volume Resourceful at Developing Team’s Effectiveness Building Internal & External Customer Relations Superior Communications, Presentations, and Interpersonal Skills QUALIFICATION & ACHIEVEMENT SUMMARY

• Timely conduct research and respond to inquiries from financial professionals, assistants, and colleagues ensuring a high level of accuracy and validity of information

• Proactively maintain accounts, verify cases, and exceed expectations of business partners and Advisors

• Educate Advisors on the latest technology and tools to help professional grow and become more self-sufficient

• Work well with others on a team, build strong relationships and help drive high performance initiatives

• Subject matter expert on procedures and policies (internal & external) PROFESSIONAL EXPERIENCE

ADVISOR GROUP, Phoenix, AZ Feb 2022 – July 2023

SUPERVISION SPECIALIST

• Ensures Proper business and sales practices are followed by the daily review of brokerage and directly-held transactions.

• Suitability review of Variable Annuities and Alternative Investments

• Works with financial processionals to address concerns and to educate concerning firm policies and procedures.

• Works with management and other supervisory/compliance personnel on escalated sales practice issues.

• Provide extraordinary customer service to Advisor Group professionals, including incoming calls and responding to questions.

• Works independently to ensure department deadlines are met and service levels are maintained. RAYMOND JAMES, Tampa, FL 2017 to 2019

Supervision Specialist II

• Responsible for electronic and hard copy review for communication from licensed representatives to clients.

• Communicated violations of policy via educational calls, written letters of responsibility and issued fines for instances of multiple violations of policy.

• Problem-solved and conducted research/special requests and resolved escalations. INVEST FINANCIAL, Tampa, FL 2015 to 2016

Brokerage Services Representative, Trading and Operations Support Desk

• Worked collaboratively on trading & order review desk which utilizing multiple clearing firms.

• Placed trades (equity & option) and booked Unit Investment Trust (UIT) for multiple vendors.

• Worked behind the scenes with in-house partners, and documented and updated customer records base on interactions.

• Identified and resolved risk concerns.

CHARLES SCHWAB & COMPANY, Phoenix, AZ 2003 to 2014

Promoted three times in 10 years.

Senior Operations Specialist II, Stock Plan Services

Consistently exceeded productivity goals by 20% or more with 99.5% accuracy rates.

• Managed accounts operations and maintained and supported daily operational functions for the financial Advisors using Charles Schwab’s managed account platforms.

• Collaborated with stock plan participants and domestic and international wires and transfers at Company and participant levels.

• Selected for various special projects including back-end testing of critical system functionality for new system rollouts or updates, ensuring data security of client. Senior Operations Specialist, Retail Estate Distribution

• With extreme attention to detail, reviewed and processed court orders, beneficiary forms and divorce decrees to determine correct beneficiaries, mitigate risk and process distributions.

• Worked collaboratively with estate distribution team in accurately process estate review and distributions for all account types with high levels of complexity.

• Supported new initiatives with the desire to contribute to innovation and process improvement. Operations Specialist II, Retail Operations

Impacted productivity goals to over 20% with 99.5% accuracy rates.

• Processed new applications and set up accounts in compliance with departmental policies.

• Selected as Team Lead for processing issues, and served as subject matter expert in all account-type processes, contributing to high productivity and efficiency.

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