Investment Administration & Client Compliance Specialist

MICHAELA HORN WOOROME

Keller, TX ***** 817-***-**** ******************@*****.***

PROFESSIONAL SUMMARY

Financial Services and Investment Administration professional with 25+ years of experience supporting financial advisors, portfolio managers, and clients. Expertise in investment operations, account management, client service, and regulatory compliance. Proficient in Bloomberg Terminal, Schwab, and APX portfolio systems. Proven ability to build lasting client relationships, resolve complex issues efficiently, and contribute to business growth and retention.

CORE COMPETENCIES

• Investment Operations & Trading • Bloomberg Terminal (Daily Proficiency)

• Client Account Management • Regulatory & Compliance (FINRA/SEC)

• Portfolio Reporting & Analytics • Legal Document Processing

• Schwab & APX Portfolio Systems Executive calendar management

Meeting and board preparation

Travel coordination

Confidential correspondence

Document and presentation preparation

Project coordination

Vendor and client relationship management

Office administration

Process improvement

Cross-functional communication

PROFESSIONAL EXPERIENCE

Investment Administrator Holt Capital Partners Apr 2025 – Jun 2026

•Maintained accurate client records and investment account documentation; coordinated paperwork, signatures, and follow-up.

•Monitored account activity and ensured timely transaction processing; responded to client inquiries on account status.

•Prepared client reports, portfolio review materials, and meeting documentation for advisor presentations.

•Ensured compliance with firm policies, industry regulations, and confidentiality standards.

•Utilized Bloomberg Terminal daily to research securities, generate ETF performance data, and support investment decisions.

Senior National Subpoena Processing Specialist & Senior Special Credits Specialist JPMorgan Chase Bank N.A. Jun 2020 – Apr 2025

•Served as primary liaison between JPMorgan Chase and parties issuing subpoenas; ensured full compliance with IRS summons, criminal, and civil legal processes.

•Prepared and filed legal documents; communicated directly with courts, trustees, and attorneys

•Resolved complex active and inactive bankruptcy inquiries; provided exceptional service to customers navigating financial distress.

•Collaborated with State and Federal agencies and in-house counsel; reviewed documents for accuracy and regulatory completeness.

Associate Bank / Customer Service Representative JPMorgan Chase Bank N.A. Sep 2018 – Jun 2020

•Maintained high customer satisfaction through forward-thinking resolution strategies; cultivated loyalty and drove repeat business.

•Responded to product, service, and account inquiries; provided personalized guidance tailored to individual customer needs.

Senior Personal Banker Community Bank Jan 2010 – Jan 2014

•Educated clients on financial products and provided investment recommendations tailored to individual financial goals.

•Cultivated new client relationships through thorough onboarding; consistently recognized for punctuality, professionalism, and team collaboration.

EDUCATION

Business Studies — Sonoma State University, California

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