Alice Weir
Plattsburgh
Summary
Results-driven manager with expertise in team leadership, financial management, and strategic planning. Demonstrated ability to enhance operational efficiency and drive investment growth through tailored strategies and client engagement.
Overview
20
20
years of professional experience
1
1
Certification
Work History
Centralized Account Management, Manager
NBT Investment Services
03.2021 - Current
- Supervise team of Financial Consultants responsible for service and retention of centralized investment accounts
- Managed and motivated employees to be productive and engaged in work.
- Developed strategic investment plans to enhance portfolio performance for diverse client profiles.
- Conducted in-depth market analysis to identify emerging trends and opportunities for investment growth.
- Collaborated with financial advisors and various departments within wealth management to refine client strategies, ensuring alignment with long-term goals.
- Implemented process improvements that increased operational efficiency and accuracy in reporting systems.
- Expanded client base through targeted marketing efforts and referrals from satisfied customers and branch partners.
Internal Financial Consultant
NBT Investment Services
08.2016 - 03.2021
- Built strong relationships with clients and financial consultants through consistent communication and exceptional customer service.
- Streamlined reporting processes, enhancing accuracy and timeliness of financial reports.
- Collaborated with cross-functional teams to implement innovative financial solutions and operational excellence.
- Facilitated new client onboarding process and investment account setup.
- Made appropriate recommendations, performed suitability due diligence, investment account reviews, executed trades, withdrawals and contributions. Performed cash flow analysis, composed retirement projections.
- Processed death claims, trust and estate analysis, Simple/SEP IRA contributions, fee waivers, cost basis research, journals, account transfers, required minimum distributions, 401K administration, client reviews/deliverables.
- Maintained branch audit logs. Kept informed of product knowledge through frequent contact with wholesalers. Prepared agendas and attend monthly sales meetings. Prepared various financial reports as requested by Territory Sales Manager.
- Maintained licenses by completing required continuing education courses and FINRA compliance modules.
Account Executive, Commercial Lines
NBT Insurance Agency
09.2014 - 08.2016
- Developed and maintained strong client relationships to drive retention and loyalty.
- Conducted comprehensive insurance policy reviews to ensure compliance with industry standards.
- Collaborated with underwriters to customize insurance solutions tailored to client needs.
- Maintained up-to-date knowledge on product offerings, ensuring accurate representation during sales pitches or negotiations with clients.
- Negotiated contracts successfully, securing favorable terms for both the company and clients.
- Conducted regular check-ins with existing clients to assess their needs and identify upselling opportunities.
- Streamlined account management processes for increased efficiency and improved client retention rates.
- Developed a solid pipeline of prospects through diligent research and targeted outreach efforts.
- Became fully licensed as an insurance agent/broker.
- Attended Sales Account Executive training school through The Hartford Insurance Company. Obtained Commercial Lines Coverage Specialist (CLCS) designation.
- Performed various clerical duties and research projects as assigned.
- Stayed up-to-date with continuing education and licensing requirements.
Senior Registered Client Service Associate
Morgan Stanley
07.2012 - 09.2014
- Collaborated with team of financial advisors to implement tailored investment solutions for high-net-worth clients.
- Maintained strict adherence to regulatory requirements within daily operations thus mitigating potential risks.
- Enhanced client satisfaction by addressing their inquiries and resolving issues promptly.
- Prepared client reports with high attention to detail, accurately reflecting portfolio performance and recommendations for improvement.
- Coordinated with financial advisors, ensuring accurate account setup, maintenance, and administration.
- Reduced service delivery time with effective prioritization of tasks and proactive problem-solving abilities.
- Facilitated timely trade execution for clients while strictly adhering to compliance guidelines.
- Maintained accurate record-keeping with proactive attention to client information updates.
- Coordinated with operations staff to resolve service problems and boost client satisfaction.
- Trained and mentored new personnel regarding company operations, compliance, policies and services.
- Sought ways to improve processes and services provided.
Registered Sales Assistant
Donlan & Barcomb Wealth Management
09.2008 - 07.2012
- Assisted financial advisors in preparing client presentations and investment proposals.
- Coordinated scheduling for client meetings, ensuring effective time management.
- Managed account documentation and compliance requirements for regulatory standards.
- Developed strong relationships with clients through personalized communication and service.
- Streamlined office processes by implementing new filing systems to enhance efficiency.
- Supported financial advisors in managing portfolios, ensuring clients'' investment objectives were met.
- Consulted with clients to set appointments, discuss products, and resolve concerns.
- Managed risk by diligently reviewing trade orders for accuracy before submission to avoid errors or discrepancies.
- Opened, updated, and closed customer accounts.
- Processed payments, transfers, trades, and other transactions.
- Utilized excellent multitasking abilities while juggling multiple responsibilities including answering phones, managing calendars, processing paperwork, assisting with special projects.
Branch Service Associate
UBS Financial Services
06.2006 - 09.2008
- Assisted clients with account inquiries, transactions, and service-related issues efficiently.
- Collaborated with team members to streamline branch operations and improve workflow processes.
- Trained new associates on company policies, procedures, and client management systems.
- Handled daily wealth management and investment banking operations.
- Processed deposits and entered disbursement requests. Ensured approval and distribution of funds. Scheduled and confirmed mutual fund wholesaler meetings. Assisted with meeting preparation and presentation.
- Filed manager expense reports via Travel Expense software.
- Reviewed new account paperwork for compliance approval. Scanned account forms into document management system. Provided clients with cost-basis and tax reporting research as requested.
Education
Bachelor of Science - Communications
State University of New York, At Plattsburgh
05-2005
Skills
- Customer service
- Team leadership
- Time management
- Decision-making
- Complex Problem-solving
- Staff training and development
- Strategic planning
- Customer relationship management (CRM)
- Staff development
- Performance evaluations
- Financial management
Certification
Series 6 – Investment Products & Variable Contracts Representative
Series 7 – General Securities Representative
Series 63 – Uniform Securities Agent
New York State Life, Accident & Health Insurance Agent
New York State Property & Casualty Insurance Broker
Commercial Lines Coverage Specialist (CLCS) , The National Underwriter Company
Notary Public – State of New York; Clinton County
Timeline
Centralized Account Management, Manager
NBT Investment Services
03.2021 - Current
Internal Financial Consultant
NBT Investment Services
08.2016 - 03.2021
Account Executive, Commercial Lines
NBT Insurance Agency
09.2014 - 08.2016
Senior Registered Client Service Associate
Morgan Stanley
07.2012 - 09.2014
Registered Sales Assistant
Donlan & Barcomb Wealth Management
09.2008 - 07.2012
Branch Service Associate
UBS Financial Services
06.2006 - 09.2008
Bachelor of Science - Communications
State University of New York, At Plattsburgh