Data Analysis Project Management

David Carter

Raleigh, North Carolina 347-***-**** **************@*****.***

FINANCIAL LEADER

Finance – Learning & Development – Data Analysis – Strategic Planning – Reporting – Consulting– Relationship Management Business Operations – Compliance – Wealth Management – Insurance– Project Management – Inventory Cycle – Acquisitions Budget Planning – Risk Management– Portfolio Management – Market Trends –Technology – Investment Banking – Insurance Results driven leader with the ability to manage day-to-day financial operations and build beneficial relationships with clients. Over nine years of experience in the financial services industry with an array of experience managing client accounts and portfolios, with a 90-100% success rate in all initiated projects and duties. A keen leader in consulting with financial leaders to make appropriate organizational decisions important for company revenue growth and optimization. Seeking to obtain a financial consulting role to utilize previous experience and grow in new areas of expertise. PROFESSIONAL EXPERIENCE

WEALTH OPERATIONS SENIOR SPECIALIST, CapTrust Financial Partners, November 2021- Present

• Communicate the firm’s resources, value proposition, solutions and services to representatives

• Generate new business opportunities through prospecting, lead generation and closed sales in the referral programs

• Conduct regular senior level presentations and partner with associates and clients at various regional events

• Produce leadership reports based on data analysis, industry trends, and process capabilities

• Lead the development process of enhancements based on reporting weekly/quarterly

• Lead the inventory cycle counting process, reviewing variances and processing financial adjustments

• Prepare and coordinate executive-level management meetings, ensuring that all responses are accurate and consistent with planning, performance, and budget considerations

• Analyze unusual acquisition issues, identifying and implementing novel or innovative courses of action

• Serve as a senior level technical expert in examinations of significant tax compliance issues

• Assure compliance is always maintained at a 90% threshold or higher by following SOPs

• Organize and synthesize client data and review client planning documents, financial statements, and tax returns

• Prepare Wealth Transfer Advisory Service deliverables, such as Wealth Transfer Diagrams and Wealth Transfer Audits

• Operate as a partner to internal teams in onboarding new client accounts, which includes account opening, funding, and initial setup in internal systems

• Review financial documents, policies, standard operating procedures, and contracts to determine accuracy in accordance with procedures and regulatory requirements

• Relay research and market views to Private Wealth Advisors, clients and prospective clients

• Maintain current knowledge and awareness of client circumstances, conditions, and overall relationship with the firm to develop appropriate wealth plans

BROKERAGE SERVICE REPRESENTATIVE, Wells Fargo Advisors, January 2018- November 2021

• Engaged with, and served as an advocate for clients when answering inbound calls, taking ownership, and tackling complex issues to offer the best possible solution

• Analyzed, researched, and ultimately resolved complex accounting discrepancies to ensure timely reconciliation of brokerage accounting statements and reduction of brokerage bad debt expense

• Consulted with clients to help them understand their investment powers and products including stocks/mutual funds, and annuities

• Assisted brokerage who supports clients and provided stock quotes and bonds based off the stock market

• Researched referring accounts for suspected elderly abuse identify theft and account misuse

• Processed and ensured all wire/ACH transactions-maintained compliance with federal and state regulations

• Achieved performance goals and metric requirements as mandated by management during monthly performance review meetings (PRM)

• Provided training on policies and procedures, and provide guidance to less experienced individuals, as well as internal and external customers

PERSONAL BANKER II, Wells Fargo Bank, January 2015- December 2017

• Operated as a multi-functional team member, responsibilities ranged from processing transactions to consulting customers in an advisory manner, maximizing the sales potential of every interaction

• Proactively and pleasantly greeted customers to establish a connection and develop rapport, providing outstanding, personalized customer service

• Executed a variety of customer transactions in accordance with applicable policies and procedures, and with a high level of accuracy and efficiency while maximizing the sales potential of every interaction

• Lead and participated in special projects to improve or enhance financial management and operating efficiencies

• Trained and coached less experienced team members in procedures and performance strategies

• Articulated value of various financial products, including stocks, bonds and mutual fund and educated clients on benefits of each

• Maintained accurate records in CRM by researching and utilizing sales data management tools

• Developed intuitive, insightful, and engaging interactive dashboards and data products that enable efficient, data- driven decision-making, as needed

EDUCATIONAL DEVELOPMENT

Master of Business Administration, Strayer University, May 2018 Bachelor of Arts in Mass Communication, Strayer University, May 2014

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