Legal Assistant North Carolina

R. DENISE WHISNANT

**** ******* ***** ************, ***** Carolina 28078 Mobile: 704-***-****

E-Mail: **************@***.***

PROFESSIONAL EXPERIENCE:

Legal Assistant/Receptionist - Mooresville, NC

Thomas Godley and Grimes, PLLC January 2019 – April 2019

Daily contact with clients, Court personnel and opposing counsel

Initial contact with potential clients, run firm conflict checks on every new client, schedule initial meetings with attorney and manage attorney calendars

Assist in monthly billing, invoices and processing payments

Maintain and build vendor and advertising relationships

Assist in preparation of Wills, Powers of Attorney, Health Care Power of Attorney

Prepare correspondence and assist attorneys with Fee Agreements and communications with client related to same

Calendar management and tracking case status to ensure compliance with pending deadlines

Implemented new client data base My Case

Implemented new billing system Law pay

Transitioned new and existing clients to new systems

Ordered and maintained all office supplies for Family Law Practice

Legal Assistant – Cornelius, North Carolina Church Watson Law, PLLC, December 2014 – April 2018

Areas of Practice include Family Law, Criminal and Traffic Law, Estate Planning.

Currently assists 5 attorneys in all facets of litigation

Daily contact with clients, Court personnel and opposing counsel

Initial contact with potential clients, run firm conflict checks on every new client, schedule initial meetings with attorney and manage attorney calendars

Assist in monthly billing, invoices and processing payments

Maintain and build vendor and advertising relationships

Assist in preparation of Wills, Powers of Attorney, Health Care Power of Attorney

Prepare correspondence and assist attorneys with Fee Agreements and communications with client related to same

Calendar management and tracking case status to ensure compliance with pending deadlines

Branch Office Manager / Customer Service Coordinator – Charlotte, North Carolina Ameriprise Financial, April 2012-April 2014

Provide general administrative duties in support of the Employee field Office. Ensure a

consistent client experience by greeting clients and prospects upon arrival to the office and answering phones.

Provide practice management support for advisors and leaders.

General administrative duties performed for entire office may include: distributing and tracking correspondence, setup and ongoing maintenance office of supervisory jurisdiction and client files, offices supply management, ensuring office machines are operating in good condition, copying, processing expense management forms, initiating maintenance requests, handling bank deposits.

Practice Support duties may include: scheduling client or wholesaler appointments, entering client data into various applications, closing financial plans and maintenance of plan tracker, addressing client assignment issues, setup of new advisor workstations, assisting advisor in preparation or follow-up to client meetings and correspondence, printing and distributing of reports. Seminar support.

As directed, assists advisor in servicing clients including preparing financial plans, conducting investment research, and completing trades and transactions.

Responsible for preparing and summarizing client meetings by scheduling and confirming meetings, entering data into Contact Manager, creating the agenda and summary of meetings escorting clients to advisor, and providing necessary follow-up.

Prepares and ensures new business paperwork processes successfully which may include preparing forms via Simplified Account Opening (SAO), obtaining appropriate signatures, preparing documentation to send to home office, tracking new insurance applications and coordinating rollovers.

Compliance Associate – Charlotte, North Carolina TIAA-CREF, September 2011- December 2011

Scan and upload all FINRA required documentation

Make sure all new hires paperwork is accurate and correct before filing with FINRA

Update and file insurance license for registered reps

Make all files both electronically and paper for new hires

Transitions Specialist – Charlotte, North Carolina LPL Financial, March 2011-August 2011

Analyze advisor registration information and use discretion to determine additional documentation requirements and explanations.

Review credit and CRD background information while carefully conforming to FCRA guidelines and maintaining confidentiality of advisor information.

Use discretion and tact when requesting sensitive information from the advisor. Manage relationships of large LPL offices within a designated region by demonstrating commitment to assisting them in growing their offices.

Coordinate training for new advisors and their staff by creating an individual learning plan and offering direction on the applicable courses. Proactively work with the advisor and their branch manager to obtain necessary information and provide detailed explanations of documentation and requirements.

Obtain formal compliance approval by providing reviewed kit to compliance analyst and coordinating requests for additional information with advisor and Branch Manager.

Determine license transfer and FINRA examination dates by working closely with the advisor and Branch Manager. Determine date by reviewing applicable LPL fees, advisor’s current commission schedule, and potential disclosure review

delays. Coordinate delivery of U-4 and other registration materials and work closely with the Registration Department to ensure seamless transfer of licenses to LPL.

Provide and discuss written educational material based on advisor’s product mix. Consult with advisor and Branch Manager on questions regarding LPL’s products, platforms, policies and procedures. Consult with Branch Manager to ensure advisor has been set up with system access, marketing pieces and stationery have been approved, and trading requirements have been completed.

Manage transition process by maintaining a detailed checklist including status and expected completion dates of all deliverables.

Client Relations Representative – Charlotte, North Carolina Community Eye Care, November 2010 - March 2011

Work on projects that relate to all phases of the client relationship. Call existing clients on a rotating schedule.

Travel to and from client meetings as needed to help with enrollment paperwork and perform benefit education meetings. Run reports as needed.

Work with other staff members in entering enrollment paperwork and perform benefit education meetings. Attend annual Benefits Fairs.

Work with other staff members in member enrollments, changes and terminations into the eligibility system.

Resolve Tier 2 service issues for both members and employer groups.

Branch Operations Specialist II / SCA – Davidson, North Carolina Wachovia Securities/Prudential Securities, August 2001 - October 2008

Interact and communicate with clients ensuring awareness and knowledge on all facts of what a full-service securities firm has to offer.

Edit all new account documentation assuring accuracy and compliance.

Maintain excellent communication and interaction with clients to ensure and inform of accounts, sales and maintenance inquiries.

Process complex documents and transactions requiring considerable procedural knowledge in a timely, accurate and efficient manner.

Research and resolve basic issues between clients, associates and the company.

Assist in implementing forms and procedures to facilitate workflow.

Leading team members in processing workload as necessary.

Senior Client Associate – Charlotte, North Carolina Salomon Smith Barney, March 1997 - August 2001

New Accounts Processor / Sales Assistant – Charlotte, North Carolina Prudential Securities, Inc., July 1993 - February 1997

VOLUNTEER EXPERIENCE:

Currently a volunteer for the East Lincoln Crisis Ministries, a non-profit organization, assisting with sorting, inventory and sales control of donated materials for redistribution to families in need.

Proud supporter and participant of the Susan G. Komen Breast Cancer Organization.

Active volunteer with Lake Norman and Lincoln County Hospice and Palliative Care

COMPUTER AND INTERNET SKILLS:

Microsoft Word; Microsoft Excel; Microsoft Outlook; My Case; Law Pay; Court Logic; Internet Explorer; NC Courts; Notary Public

REFERENCES:

Professional and personal references available upon request.

Contact this candidate