Client Services Financial Advisors

Jennifer Lewis

Greater Boston/Worcester, MA 413-***-**** *******@*****.***

CORE COMPETENCIES

• Multi-Asset & Multi-Manager Investment

Products

• New Investment Product Launches

• Shareholder Reporting (US GAAP)

• Regulatory Reporting (SEC/DOL/IRS)

• Relationship Management

• Strategic Alliances & Partnerships

• Risk Management & Governance

• People Management

• Team Leadership

PROFESSIONAL EXPERIENCE

EVERRISE INC.

Client Services Specialist April 2024 – January 2025

• Answered all incoming phone calls, responded to client inquiries and created tasks documenting all client interactions and requests in CRM system

• Greeted all clients for on-site meetings with the financial advisors

• Prepared new account opening and investment paperwork for brokerage, retirement and trust accounts

• Placed mutual fund trades at the direction of the financial advisors

• Processed money movement requests at the direction of the financial advisors and/or client requests

• Complete projects assigned by financial advisors and senior staff

• Managed all incoming and outgoing mail and packages

• Provided office coverage in the absence of peers

• Generated monthly client reports, as needed

• Scanned client statements, correspondence, and documents

• Maintained and updated client personal, financial and estate information in CRM system

• Scheduled client review meetings based on the financial advisors’ calendar availability; communicated and confirmed these with internal parties and clients

MERCER INVESTMENTS, LLC

Client Services Manager 2020 – 2022

• Point of escalation for 401(k) client relationships relating to day-to-day operational plan administration issues with their employees’ defined contribution (DC) retirement investment accounts

• Lead monthly touch point meetings with clients to discuss any open plan administration items and/or any upcoming changes that would impact their 401(k) plan design or employee eligibility requirements

• Monitored open action items with clients and internal teams, responsible for resolution on a timely basis

• Coordinated meetings with clients and their legal teams to discuss any 401(k) legal/compliance issues as they arise with various internal Mercer colleagues (consultants, operations managers, compliance and legal teams)

• Participated in new 401(k) client plans onboarding meetings, working closely with the internal Mercer implementation managers to ensure a smooth transition from start to “go-live” status

• Participated in semi-annual investment and plan administration reviews for clients’ 401(k) plan assets as fiduciary to the plans

• Acted as a liaison between the clients and operations team to ensure DOL/IRS regulatory compliance filings are completed accurately and timely throughout the plan year

• Worked closely with clients and operations team for mergers or acquisitions of companies and their employees and related retirement accounts to ensure smooth transitions

• Participated in the facilitation and follow up of clients’ annual 401(k) plans’ audits and Form 5500 filings with the operations team and audit firm(s)

Principal, Operations - Fund Administration 2017– 2020

• Oversight of fund administration, tax services and financial reporting prepared by third party service providers to the Mercer sponsored mutual funds and collective investment trusts

• Ensured Mercer board materials prepared by third party service providers completed timely and accurately

• Ensured required SEC and regulatory filings for the mutual funds completed timely and accurately

• Coordinated and facilitated quarterly Treasurer Certification and Disclosures, Controls & Procedures meetings for mutual funds

• Engaged with audit firms to ensure successful completion of Mercer mutual fund annual audits and collective investment trusts

• Participated in internal and client/third party operational meetings for new funds and collective investment trusts launches

• Provided support and insight to clients’ retirement plan auditors related to their investments in Mercer mutual funds and collective investment trusts

• Oversight of DOL/IRS Form 5500 filings prepared by external audit firm for the Mercer collective investment trusts

Senior Associate, Operations – Fund Administration 2015 – 2017 STATE STREET CORPORATION

Vice President, US Mutual Funds - Fund Administration 2010 – 2014

• Provided oversight of overall service deliverables on US mutual fund client relationships

• Oversight of teams that provided semi-annual and annual shareholder reports, quarterly Form N-Q filings and investment compliance reporting

• Managed teams that prepared client specific board materials, full expense budgeting and administration, fund performance and income distributions (including cap gains distributions annually)

• Coordinated with client auditors to ensure annual audit and financial statements were completed timely and accurately

• Maintained successful service levels and working relationships with multinational clients

• Provided monthly metrics for senior management reporting for profitability and resource utilization and allocations by client for budgeting purposes

Assistant Vice President, Fund Administration 2003 – 2010 EDUCATION

Bachelor of Science in Business Administration (BSBA), Accounting Concentration Western New England University

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