Wealth Management Client Service

Xiomara Rosquete

** ** **** *** **-*, Miami, FL *3125

Cell: 305-***-**** - ***********@*****.***

Professional Summary

To obtain a job in your institution that utilizes the achievements, skills, and strategic thinking I have that enables me to consistently exceed expectations. Meticulous and excellent at juggling multiple tasks and working under pressure. Result oriented with over 17 years in banking experience in Wealth Management Operations.

Skills

Self-motivated Data Management Work well with others

Extremely organized Budgeting and finance Strong Team Player

Analyze Risk Conflict Resolution Process implementation

Work History

10/2021 to 07/2024 Client Services Specialist

Bci Securities Inc – Brickell, FL

Responsible for working with the registered representatives/financial advisors to onboard new Brokerage and Registered Investment Advisory (RIA) client/accounts.

Responsible for the creation/maintenance of new and existing customer account files.

Review New Account Documentation (prior to account opening) for accuracy and relevance.

Process the documents necessary for the new account onboarding process (including but not limited to the W8, TOD, POA, Margin agreements, Options agreements).

Preparation and process of Pershing Non-Purpose Loan and Collateral Based Loan related accounts

Preparation and process of all operational Brokerage and Advisory account activity (including but not limited to wire transfers, journal/ACH transfers, margin calls, corporate actions, ACATS and delivery free of payments).

Quality Control checkpoint for certain transaction and asset movement functions

Quarterly Advisory Fee Review

Bci Securities Shared and Client Service Libraries Annual Maintenance

Monthly Client Service log completion and or cancellation review

Item for Attention - W8 Attention

Provide daily support to the registered representatives and staff within Bci Securities and related affiliates, with operative and administrative processes.

Required to work with Pershing (Clearing Broker Dealer) and any necessary Bci Securities staff in order to clear/solve any inquiry or situation related to account activity.

01/2011 to 06/2019 Senior Wealth Management Operations Specialist

Mercantil Bank – Doral, FL

Responsible for processing back office requests and MCIS settlements, while adhering to all policies and procedures in place and training of new hires.

Provide exceptional customer service to our internal clients. Assure accuracy, integrity and deliver services within the high service standards of the bank.

Settlements; ensuring settlements of all Euroclear and DTC fixed income trades for the broker dealer in a constricted time frame in order to maintain broker to broker relationships and avoid failed trades and interest charges.

Record and maintain all daily trade tickets in order to meet all regulatory requirements. Back Office; Responsible for all asset movement requests inside of their pre-established SLA times within a quality-controlled environment.

Liaison for the front office and Pershing's NY on all matters pertaining to margin support.

Provide support and error resolution in the event of Trade Error.

Propose new strategies and process improvement ideas to increase efficiency.

Assist the department manager in production and recommendations to be presented to MCIS and MCTC in order to reduce operational risk.

Confirm and control supporting documentation submitted by the Front Office.

Act as backup to the WMO Officer and assist in all matters pertaining to with Bloomberg access and assist with Treasury Department requests and processes.

Responsible for preparing and paying invoices & Entity reconciliations for Trust.

05/2006 to 01/2011 Wealth Management Operations Specialist I & II

Mercantil Bank – Doral, FL

Middle Office; Open new MCIS brokerage and advisor accounts. Administer a portfolio of 3,800 active accounts and an average of 90 new accounts per month.

Open new bank accounts for the Mercantil Commercebank Trust Company.

Process daily requests in the Wealth Management middle office portal.

Review compliance detail on requests sent from the Front Office staff in order to comply with policies and procedures.

Update process manuals for the Middle and Back Office Area.

Update E-KYCs submitted by the Front Office.

Archive, Index and Image all necessary documents to electronic storage. Creating a paperless environment.

Enroll MCTC LLC companies to automatically make utility payments.

Monitor system downtime.

Upload data from operating systems (AS400) and Pershing's to the MCIS Portal.

Train new hires within the department.

11/2003 to 05/2006 Personal Banker

Mercantil CommerceBank – Coral Gables, FL

Expanded client base by promoting new financial products.

Networked to increase client base and encourage existing clients to expand financial portfolios.

Promoted all financial products by maintaining excellent service offering knowledge. Achieved consistent recognition as a top sales performer in 2005.

Established rapport with new clients to increase retention and loyalty.

Trained new team members on applying due diligence procedures and regulatory mandates.

Education

Miami Senior High School - Miami, FL Class of 2000

Miami Dade College - Interamerican Campus - Miami, FL

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