Quality Assurance Customer Service

Mike A. Kirby

**** ***** **, ** *****, Mo *****

Cell: 314-***-****

****.*****@*************.***

**************@*****.***

Core Competencies:

Microsoft Office Suite

Customer Service and Relationship Building

Learn and Adapt Quickly

Audit and Quality Assurance Reviews

General Ledger Reconciliation

25 Years Of Proven Leadership

Process Evaluation and Improvement

Business Acumen

Problem Resolution

Work Experience

Wells Fargo Advisors Jan 2009-Present

St. Louis, MO

Estate Support, Annuity Support and Divorce Support

Branch support for deceased, annuity and divorce paperwork

Take phone calls from branches to assist with paperwork or any issues that arise.

Work with processors to execute processing for clients

Alternative Investments

Used Glenn and Rand to adjust shares and to credit funds from liquidation

Processed paperwork for clients for liquidation

Worked with Carriers with liquidation of share amounts

Fixed Income Trade Corrections

Trade corrections to reduce client impact and bank risk

Updating policy and procedures for audit purposes

Walk branches and traders through the correction processes

Crossed trained in Short Sells, Group Errors, Manual trade tickets and Recon

Cash Management/Money Markets

To assist the field with money market buys, sells, interest rates and FDIC coverage.

To assist the branches on bank deposits, IRA coding and any problems that would occur through Smart Station

Giving detailed wiring instructions for Domestic and International wiring of funds

Deletion/Voiding of check distribution from the Home Office

.

Wachovia Securities Feb 2006-Dec 2008

Charlotte, NC

Estate Service Specialist/Annuity Support

Educate and Assist inbound callers with required documentation needed to process claims by beneficiaries of deceased owners of CAP, IRA, ISG brokerage accounts and Annuity Change of Custodian

Disseminate IRA beneficiary options by speaking with claimants, estate attorneys, executors or administrators

Facilitate research of issues between the Branches and Annuity Operations

Wachovia Securities Aug. 2004-Feb 2006

Charlotte, NC

Investment Service Group (Brokerage, IRA, and Command Assets Program)

Assist customers via telephone by answering questions, resolving problems, and processing requests on CAP, IRA, and brokerage products

Process and disseminate information regarding contributions and distributions of customers’ IRA and Money Market Savings Accounts

Disseminate information regarding IRA rollovers for customers, including tax information (5498 and 1099 tax forms)

Reconcile and resolve issues related to CAP and brokerage accounts through statements and research

Banc of America Investment Services, Inc. July 1997 –May 2002

Charlotte, North Carolina

Supervisor, Investment Operations

Handled personnel issues such as hiring, payroll, evaluations and coaching, and termination

Educated brokers on correct procedures for opening accounts to avoid negative client impact

Researched inaccurate or fraudulent account profiles and trades to minimize firm exposure

Managed day-to-day operations for Unit Investment Trusts, Equity Trade Adjustments, Mutual Fund Adjustments, PIP/SWP/Dividends, and Interest Adjustments

Reviewed legal documents such as IRA Distribution Forms, Death Certificates, Power of Attorney forms, and Estate Agreements as supporting documentation for day-to-day processing

Performed audits and quality assurance reviews of all groups for senior management

Facilitated staff meetings to communicate changes in procedure, current events, etc.

Managed the account opening process and the timely receipt and processing of applications

Developed and implemented a new filing system that increased speed and accuracy of information retrieval

Managed the efficiency and accuracy of mutual fund trade entry done in the department

Educated associates about stock market fundamentals and how it impacts their role in the company

Created trade adjustment desk and procedures during conversion from Dean Witter to National Financial

Reconciled all branch and trading error accounts on a monthly basis

Coordinated new employee system access and training

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