Operations Specialist Data Entry

Shantell Evans

Newark, NJ ***** 973-***-**** ***************@*****.*** linkedin.com/in/shantellevans Professional Summary

Customer-focused and detail-oriented Securities Operations Specialist with 15+ years of experience in financial services, brokerage operations, and client relationship management. Adept at managing high-net-worth clients, ensuring compliance with FINRA regulations, and supporting financial advisors in delivering exceptional service. Recognized for process improvements, problem solving, and fostering long-term value creation. Core Competencies

• Brokerage Operations & Compliance

• High-Net-Worth Client Management

• Customer Service & Retention

• Trade Processing & Account Management

• Process Improvement & Efficiency

• Financial Advisor Support

• Communication & Relationship Building

• MS Office & Financial Platforms

Professional Experience

Pruco Securities – Newark, NJ

Securities Operations Specialist 2016 – 2024

• Manage account transactions and support financial professionals, branch staff, and clients through accurate trade processing and issue resolution.

• Enter and review trade orders across multiple platforms; provide expertise on sales charges, fund eligibility, and trade corrections.

• Conduct research to address customer concerns, significantly improving client satisfaction and retention.

• Collaborate with advisors on Prudential systems and platforms for mutual funds, equities, and UIT trading.

• Selected for the Pinnacle Team in recognition of consistently strong performance with high-net-worth clients. MetLife Broker Dealer Group – Somerset, NJ

Elite Services Representative 2004 – 2015

• Served as key liaison between top producers and cross-functional teams, ensuring efficient communication and workflow.

• Maintained client records, exception lists, and operational systems to ensure compliance and meet client-specific needs.

• Trained and mentored financial advisors on multiple platforms and tools, improving advisor effectiveness.

• Led process improvement initiatives, resulting in greater efficiency and enhanced service delivery.

• Consistently acknowledged for exceptional performance in managing high-net-worth clients and financial professionals.

Education

Bachelor of Science in Management

New Jersey Institute of Technology – Newark, NJ

Licenses & Certifications

• FINRA Series 6

• FINRA Series 63

• FINRA Series 7

• FINRA Series 24

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