Employee Relations Customer Care

Mark Arnold Roberts

**** ******* ***** *****

Birmingham, Alabama 35242

Mobile 205-***-****

************@*****.***/ ****.*.*******@**********.***

SUMMARY

Collaborative Leader with 34 years business experience. I have 17 years of experience in Financial Services (7), compliance (7) and fraud investigations (3) in ICCC at Wells Fargo N.A., 14 years management and military service, and 3 year as a Business Owner.

Acknowledged strengths in financial reporting and customer care/service. A results-oriented team leader, who learns quickly, develops strong interpersonal relationships and possesses a proven desire to succeed. Expertise is broad in scope, including the following:

General Accounting Problem Solving

Management Reporting Employee Relations

Customer Care Planning and Analysis

PROFESSIONAL EXPERIENSE

WELLS FARGO & Co Birmingham, Alabama 2015-Present

Financial Crimes Specialist 4 Aug 2018 to present

Duties:

The Assist team serves as a resource and escalation point for team members to resolve escalated customer service issues and provide guidance on claim handling. Communicates extensively with customers, merchants, other departments and financial crimes management. Researches, reviews and analyzes more complex transactions and claims using multiple online systems and research/testing techniques to identify financial crimes activities, policy violations and/or suspicious situations to mitigate and/or recover losses.

Provide guidance for 400 agent in Birmingham, Al and 4 other sites.

All aspect of claim work at ICCC at Wells Fargo, to include escalation of calls, and complaints.

Year-end Summary of Performance got 2018 Performance Indicator was performing.

Financial Crimes Specialist 3 October 2015 Aug 2018

Duties:

Reviews, verifies, and/or identifies customer transactions to detect/ prevent financial crimes activities, policy violations, and suspicious situations in order to mitigate and/or recover losses

• Places outbound calls to the customers to confirm if activity is fraud

• Monitors moderate to complex account activity which requires research that may involve multiple transaction channels

• Uses a variety of sources for information, including online systems and tools/models

• May perform general account handling functions such as close account determination, holds, restraints, etc.

• Documents research findings and actions on cases for possible referrals for Suspicious Activity, Identity Theft Operations (ITO), and Suspected Financial Abuse

• May contact customers and/or vendors to validate transactions

• Prepares required documentation including Suspicious Activity Reports

• May identify control failures in bank processes, procedures, customer or team member decisions and then categorize losses and assign loss accountability

Knowledge and understanding of chargeback guidelines

Knowledge and understanding of claims processing: Visa rules and regulations, regulation E, NACHA rules and regulations

Knowledge and understanding of database management, reporting, and analysis functions

Knowledge and understanding of fraud debit or credit card call center or risk management

Knowledge and understanding of Hogan

Knowledge and understanding of regulatory compliance requirements surrounding Regulation E

Training and coaching experience as SME for team, 8 years as Quality Assurance Officer, 7 years as restaurant manager, and 4 years as Military officer

Top Tier Q1 2018

Gold Coin Award July 2018

Valic Financial Service Sales Birmingham, Alabama Jan 2014- May 2015

Duties:

Advising clients with financial decisions

Sells securities and commodities to individual clients, advises clients on what investments suit their financial situations and can manage clients' investment portfolio.

Sterne Agee and Leach Compliance Officer June 2006-Oct 2013

Duties:

The Compliance Officer implements written policies, procedures, and standards of conduct.

The Compliance Officer establishes a compliance committee developing effective lines of communication enforcing standards through well publicized disciplinary guidelines and developing policies, addressing dealings with sanctioned individuals conducting periodic risk assessments and response plans.

The Compliance Assurance Officer is responsible for conducting internal monitoring and auditing responding promptly to detected offenses, developing corrective action, and reporting findings to the government via established channels.

Training and coaching experience responsible for training and coaching 22 branch offices for 7 years

Conducting training and review for 22 branch offices for 7 years

Presented Annual Complain briefing for over 600 people yearly in person, over phone and documentation of attendance reporting.

Merrill Lynch Financial Service Sales Birmingham, Alabama May 1999- June 2006

Duties:

As Financial Advisor I serves the financial interests of his clients.

I sold securities and commodities to individual clients, advises clients on what investments suit their financial situations and can manage clients' investment portfolio

Residential Real Estate Sale 1994-1999

Duties:

Present purchase offers to sellers for consideration.

Confer with escrow companies, lenders, home inspectors, and pest control operators to ensure that terms and conditions of purchase agreements are met before closing dates.

Interview clients to determine what kinds of properties they are seeking.

Prepare documents such as representation contracts, purchase agreements, closing statements, deeds and leases

Coordinate property closings, overseeing signing of documents and disbursement of funds.

Restaurant Manager, Birmingham, Alabama 1987-1994

Duties:

Training 7 years on all aspects of restaurant business.

Oversee and manage all areas of the restaurant and make final decisions on

Matters of importance to guest service

Adhere to company standards and service levels to increase sales and

Minimize costs, including food, beverage, supply, utility and labor costs.

Responsible for ensuring that all financial (invoices, reporting) and

Personnel/payroll related administrative duties are completed accurately, on time

And in accordance with company policies and procedures. Enforce sanitary practices for food handling, general cleanliness, and maintenance of kitchen and dining areas. Ensure compliance with operational standards, company policies, federal/state/local laws, and ordinances.

Responsible for ensuring consistent high quality of food preparation and service.

Maintain professional restaurant image, including restaurant cleanliness, proper

Uniforms, and appearance standards

Estimate food and beverage costs. Work with Corporate office staff for efficient

Provisioning and purchasing of supplies. Supervise portion control and quantities

Of preparation to minimize waste.

Estimate food needs, place orders with distributors, and schedule the delivery of fresh food and supplies must be ServSafe certified.

Will uphold all ServSafe guidelines.

Ensure positive guest service in all areas. Respond to complaints, taking any and all appropriate actions to turn dissatisfied guests into return guests.

Appropriate actions to turn dissatisfied guests into return guests.

US Army Officer in Europe Infantry, 1 BN 4th INF West Germany 1982-1986

The infantry officer is responsible for leading the infantry and combined armed forces during land combat.

EDUCATION

The Citadel, BS Business Administration 1982

Advance Coursework

Officer Basic Course at Fort Benning, GA 1982

Officer Advance Course at Fort Benning, GA 1986

CERTIFICATIONS

Certified Food Safety Manager

US Army Officer

Inactive Real Estate Agent

Inactive P& G insurance agent

Inactive Series 7 Financial service agent

TECHNOLOGY AND OTHER TRAINNING

Reg –E, FINRA, MS Excel, MS Word, MS PowerPoint, MS Spread Sheet, CIV, Nice Call Recording, Hogan, ESP Scheduling System

Year-End Summary of Performance for 2018

Select the appropriate performance indicator and summarize the final year-end results in the table below, including both what was achieved and how it was achieved.

If a performance excellence flag is warranted, select yes and document the supporting rationale within the overall performance summary comments.

Click here for guidance on completing the year-end performance evaluation. Year-end Summary of Overall Performance:

Performance Indicator: Click here for definitions

Performing

Performance Excellence Flag:

Check if “yes”; otherwise, no action is necessary

Overall, Mark is an exceeding performer. He joined my team in September 2018. He is a great asset to the Assist Team and ICCC. He demonstrates that he is very knowledgeable of all of the processes and procedures. He can handle difficult claims and escalations. He should focus maintaining his performance in the Quality objective.

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