ALINE CARTY

• Developed and maintained strong client relationships to drive account retention and growth.

Reviews client financial information for annual review and updated any life changes

• Managed multiple accounts simultaneously while maintaining organization and prioritizing tasks efficiently.
• Boosted client satisfaction by developing and maintaining strong relationships through effective communication.
• Conducted regular check-ins with existing clients to assess their needs and identify upselling opportunities for changes to their life style.
• Enhanced client satisfaction, conducting thorough needs assessments and delivering tailored solutions.

• Assist my assigned Financial Advisor by working his book of business, scheduling client appointments and gathering client information to process new accounts. Liason between FC, Operations, and wholesalers to maintain and update databases related to customer relationship management. Track and log annual reviews, sales opportunities, and commission in Salesforce Database. Monitor out of surrender contracts, scheduling appointments for annual reviews. Handle client related discrepancies, life-changing events, client withdrawal requests and follow up with insurance carriers/wholesalers to ensure requests are completed in a timely manner. Responsible for setting up required minimum distributions for clients 70 ½. with IRA accounts. I work independently as well as with my retail banking channel partners to ensure a seamless and great client experience.
• FC has been a top producer and successfully exceeded his sales goals for the past two years with my assistance.
• Successfully passed all audits for the past three years by Maintain client files, while being compliant with FINRA, CFG, and state securities regulation.
• My coverage of the Dover, DE branch has allowed the financial advisor mobility to cover two other assigned branches. Our team work has increased client sales and company revenue.
• A national financial advisory firm headquartered in Dedham, MA. offering a broad range of financial services

• Prepared and processed transactions, financial reports, and analyzed data in a timely and accurate manner. Maintained and conducted collateral purchases for all accounts and processed currency conversions, journals, and swaps. Researched and resolved inquiries and problems related to customer accounts. Monitor lifecycle of financial products and advised clients of option expirations and assignments. Optimized financial analysis and reporting, and integrity of financial data through the proper use of financial systems infrastructure and establishing controlled financial transactions processing. Supported development of reports and analyses.
• Improved customer request procedures, resulting in a 50%+ reduction in trade-related breaks.
• Decreased account errors and clearing discrepancies by running mid-day and end of day reconciliation reports, investigating missing trades, and checking for commission errors and processing adjustments.
• Successfully processed and approved over 500 daily wire requests. Handled over 200 cash sweeps between futures and securities accounts, and purchased, sold, received and delivered treasury bills with highest degrees of accuracy and attention to detail.
• A leading wholesale investment bank, offering a broad range of financial services, including investment banking, sales and trading, and research.

• Built and maintained relationships, while increasing market penetration and ensuring exemplary levels of customer service. Coordinated closely with various departments to resolve routine questions and complex issues. Served as point of contact for client inquiries regarding account position, margin requirements, daily and month end statements, trade ex-pits, change of ownership, account corrections and adjustments, and tax form issues. Worked with branch operation teams, advisors and product partners to gather all required documents including compliance and regulatory data.
• Facilitated transfer of 200 accounts from Bear Stearns after a buyout by JP Morgan Chase to Citigroup Global Markets Inc.
• A leading wholesale investment bank, offering a broad range of financial services, including investment banking, sales and trading, and research.

• Directed transfer of seven-member fixed income trading desk, in addition to ensuring set-up of the trading desk and seamless integration of all accounts in Bear Stearns system in accordance with specified deadlines. Coordinated with treasury group regarding the volume of wires (500+) and type of collateral (cash, money market securities, treasury bills) used to fund accounts to ensure client accounts were active and ready for trading without significant delays. Closely monitored technical trading trends, including global supply projections versus demand. Provided training for interns.
• Played a key role in the migration of manager’s business from Salomon Smith Barney to head new futures trading desk at Bear Stearns.
• Succeeded in retaining 100% of clients and securing new business.
• An investment banking, securities trading, and brokerage firm acquired by J.P. Morgan Securities LLC.