Financial Services Operations & Transfers Specialist

Kim Lockwood

Owings Mills, MD 201-***-**** **********@***.***

Professional Summary

Financial Services Operations Professional with 15+ years of experience in brokerage operations, account transfers, and client service within large financial institutions. Expertise in ACATS and Non ACATS transfers, account maintenance, regulatory compliance, and high volume transaction processing. Proven ability to collaborate with financial advisors, operations teams, and clients to ensure accurate and timely asset transfers. Recognized for strong problem solving, attention to detail, and delivering exceptional client service in fast paced financial environments.

Core Skills

Financial Services Operations

ACATS / Non ACATS Transfers

Account Maintenance & Onboarding

Asset Transfer Processing

Brokerage Operations

Client Relationship Management

Regulatory Compliance & Documentation Review

Salesforce CRM

ADP Systems

Mutual Fund Transfer System (MFTS)

Process Improvement

Operational Reporting

Training & Team Support

Microsoft Office (Excel, Word, Outlook)

Microsoft Teams

Lyons Database ACE SHARE

Professional Experience

SS&C Technologies – Financial Services Operations Representative II (Remote)

September 2024 – Present

Process new account openings and account maintenance requests including beneficiary updates, banking information changes, address updates, and legal name changes.

Review client documentation to ensure accuracy and compliance prior to processing transactions.

Contact financial advisors and investors to resolve missing or invalid documentation and complete account setup.

Research and resolve NIGO (Not In Good Order) requests to ensure accounts can be processed efficiently.

Maintain compliance with internal service level agreements and financial industry regulations.

E*TRADE Securities – Operations Analyst

Jersey City, NJ August 2010 – May 2018

Processed incoming and outgoing account transfers using ACATS, Non ACATS, ADP, and Mutual Fund Transfer Systems.

Handled high volume client service environment including 40–60 phone calls and 40+ emails per day.

Collaborated with internal departments and external brokerage firms to ensure accurate asset transfers.

Updated and maintained client account information using Salesforce and Genie systems.

Researched and resolved aging transfer requests including ACATS, Non ACATS, and mutual fund transactions.

Trained new associates on operational systems, workflows, and transfer procedures.

Generated daily reports on rejected transfers and coordinated resubmission with receiving firms.

Assisted with redesigning company transfer forms to improve usability for clients and financial advisors.

Pershing – Brokerage Operations Associate

Jersey City, NJ June 2005 – August 2010

Processed deliveries and receipts of mutual funds and brokerage account transfers including ACATS and Non ACATS.

Maintained detailed operational tracking spreadsheets for rejected transfers and transfer status reporting.

Followed up with internal teams and brokerage firms regarding receipt and delivery of client assets.

Provided operational support to brokerage firms and client service teams regarding account inquiries.

Trained international team members on internal processing systems using phone and screen sharing technology.

Assisted senior leadership with scheduling meetings, conference rooms, and travel coordination.

Education

High School Diploma – Thomson High School, Scranton, PA

Professional Recognition

• Multiple Customer Service Excellence awards and written recognition from executive leadership including CEO, SVP, and VP for outstanding client service.

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