Financial Services Operations & Compliance Specialist

PRIYANKA CHANDRA

Rocky Hill, CT ***** 203-***-**** *************@*****.***

PROFESSIONAL SUMMARY

Detail-oriented financial services professional with extensive experience in customer service operations, account administration, regulatory documentation, and transaction processing. Skilled in handling complex client and broker inquiries, investigating discrepancies, processing financial transactions, and maintaining compliant records. Strong analytical and problem-solving abilities with a proven track record of delivering high-quality service and operational support.

CORE COMPETENCIES

IRA & 529 Plan Support

Retirement Account Servicing

Account Transfers & Maintenance

Shareholder Transactions

Purchases, Redemptions & Exchanges

Regulatory Compliance & Documentation

Customer Service (Phone & Email)

Financial Reporting & Data Analysis

Discrepancy Investigation & Resolution

Process Improvement

Cross-Functional Collaboration

Recordkeeping & Audit Support

MS Office (Excel, Word, Outlook)

PROFESSIONAL EXPERIENCE

UnitedHealthcare – Rocky Hill, CT

Broker Agent Service Specialist September 2018 – October 2022

Deliver first-class inbound customer service to broker agents and external producers via phone and email.

Respond to inquiries related to enrollments, account updates, documentation requirements, and policy servicing.

Process and review contracts, agreements, and account documentation ensuring compliance with regulatory standards.

Investigate and resolve discrepancies involving commissions, account records, and transaction processing.

Maintain detailed documentation of customer interactions in accordance with regulatory requirements.

Prepare financial reports and conduct analysis to identify trends and operational improvement opportunities.

Support management with deep-dive analysis of recurring service issues and assist in remediation efforts.

Collaborate with internal teams to resolve complex service issues and coordinate service delivery.

Stay informed on regulatory updates impacting broker servicing and account administration.

Independent Business Owner – Amway Rocky Hill, CT 2010 – Present

Built and managed a multi-regional client network across New England.

Processed customer transactions and maintained accurate sales and account records.

Generated and analyzed national-level sales reports to monitor performance and identify trends.

Educated clients on policies and procedures to ensure informed decision-making.

Coordinated presentations and client engagement initiatives to support revenue growth.

Initiative LLC – Cheshire, CT Administrative Assistant 2004 – 2005

Processed customer payments and maintained accurate financial records.

Tracked financial data and prepared detailed management reports.

Resolved customer service inquiries efficiently and professionally.

Maintained comprehensive documentation ensuring transaction accuracy.

Vaishya Distributors – India Inside Sales Representative 2001 – 2004

Responded to inbound customer inquiries and processed service requests accurately and efficiently.

Assisted clients with required documentation and transaction support.

Maintained accurate communication and account activity records.

Coordinated with internal teams to resolve service and processing issues.

EDUCATION

Bachelor of Commerce – Nasik University, Maharashtra, India (1997)

Diploma in Business Administration – NMIMS, Mumbai, India (2001)

LEADERSHIP EXPERIENCE

Director of Operations – IAOCC, Rocky Hill, CT (2017 – Present)

Director of Child Welfare – IAOCC (2010; 2014 – 2017)

Co-President – West Hill PTO (2018 – 2019)

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