Cynthia Garcia
Tampa,Florida
Summary
Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.
Overview
10
10
years of professional experience
Work History
Financial Advisor Assistant
Woodbury Financial Services
Tampa, FL
07.2021 - Current
- Supporting high net worth clients
- Ensured advisor was up to date with compliance standards within firm requirements
- Consistently called clients and resolved any of their service/sales needs alongside advisor
- Placed trades upon client/advisor requests; submitted documents for compliance if needed
- Submitted forms needed for transfers, distributions, new client onboarding, etc.
- Assisted clients with preparing financial plans, conducting investment research and completing trades and transactions to assess and meet financial goals.
Financial Advisor
Bank of America/Merrill
Tampa , FL
12.2019 - 05.2021
- Contacted clients to setup relationship reviews and drive future appointments
- Conducted analysis of client financial picture and goals, along with providing recommendation
- Ensured that recommendations were based on client risk tolerance, goals, and was suitable for time frame
- Monitored world events, economy, and markets to provide clients information as needed
- Conducted transactions on behalf of clients along with account maintenance as requested
- Supported compliance requests and fulfilled all compliance responsibilities
- Met with bank clients and supported relationship managers with establishing checking accounts, credit cards, home loan referrals, auto loan applications, trust/estate accounts, and servicing needs
Senior Compliance Advisor
Raymond James
St. Petersburg, FL
01.2019 - 12.2019
- Assessed incoming regulatory developments from core and non-core regulators that may impact our business units
- Conducted frequent meetings to discuss regulatory developments with executive level staff and delegates along with maintaining ongoing relationships
- Analyzed regulatory developments with peers and subject matter experts to determine next steps of implementation
- Worked on multiple projects to assist with mapping regulations to business unit operations locally and internationally Assisted with preparation of monthly/quarterly reporting for executive level staff as well as the Anti-Money Laundering department
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
Supervisor
T. Rowe Price
Tampa, FL
04.2017 - 01.2019
- Handled and resolved any escalated client calls and requests
- Managed several projects at one time; such as staffing analysis, Spanish Team projects, and associate engagement and recognition efforts
- Managed representatives in a team call center environment; ensured adherence to work schedules and assigned specific projects as needed
- Reviewed several calls/emails per associate on a monthly basis to ensure quality on interactions with clients
- Interviewed and evaluated potential candidates for different positions within the firm
- Provided monthly and on the spot coaching to associates on my team and providing them their monthly performance
- Applied strong leadership talents and problem-solving skills to maintain team efficiency and organize workflows.
Personal Services Senior
T. Rowe Price
Tampa, FL
03.2016 - 04.2017
- Took over and resolved escalated client calls and requests
- Directed and coordinated projects for the business unit
- Managed staff ensuring adhere to work schedules and assigned team duties
- Provided monthly and on the spot coaching to associates on my team
- Provided staff coaching, mentoring and consultation to enhance performance and professional development.
- Entrusted to handle confidential and sensitive situations in professional matter.
Personal Services Specialist
T. Rowe Price
Tampa, FL
03.2015 - 03.2016
- Worked with high net worth clients and assisted them through transactions, life events, and account maintenance
- Assisted clients through complex Brokerage and Mutual Fund inquiries and trades
- Walked clients through the process of donating assets through Program for Charitable Giving
- Maintained up-to-date knowledge of product and service changes.
- Liaised with sales, marketing and management teams to develop solutions and accomplish shared objectives.
Retail Investment Service Associate
T. Rowe Price
Tampa, FL
02.2014 - 03.2015
- Answered customer questions and explained available services such as paperless services and online access
- Kept records of customer interactions and record of details, comments and complaints
- Placed trades and processed account maintenance as requested by the client
- Pleasantly greeted customers and asked open-ended questions to better determine needs.
- Maintained accurate and current customer account data with manual forms processing and digital information updates.
Transfer Agent
Franklin Templeton Investments
St. Petersburg, FL
10.2011 - 02.2014
- Assisted clients with inquiries on their accounts and maintenance requests for IRA's, and brokerage accounts
- Ensured to maintain the relationship with clients along with Financial Advisors
- Provided clients and Advisors fund performance information as requested
- Placed trades for clients and Advisors such as liquidations, exchanges, and purchases
- Conducted research to answer questions and handle issues using multiple systems and resources.
Education
High School Diploma -
AMERICAN ACADEMY OF PINECREST
Skills
- Salesforce
- Client Interviews
- Series 7, 66, 63
- Native Spanish Speaker
- Completed EDGE Leadership Training
- Completed LEAN Training Program
Timeline
Financial Advisor Assistant
Woodbury Financial Services
07.2021 - Current
Financial Advisor
Bank of America/Merrill
12.2019 - 05.2021
Senior Compliance Advisor
Raymond James
01.2019 - 12.2019
Supervisor
T. Rowe Price
04.2017 - 01.2019
Personal Services Senior
T. Rowe Price
03.2016 - 04.2017
Personal Services Specialist
T. Rowe Price
03.2015 - 03.2016
Retail Investment Service Associate
T. Rowe Price
02.2014 - 03.2015
Transfer Agent
Franklin Templeton Investments
10.2011 - 02.2014
High School Diploma -
AMERICAN ACADEMY OF PINECREST