Summary
Overview
Work History
Education
Skills
Timeline
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Angela LaCroix

Summary

Detail-oriented Account Specialist focused on resolving issues and maintaining customer loyalty. Strong critical thinking skills with a methodical approach. Knowledgeable about Financial Industry practices and documentation requirements.

Overview

16
16
years of professional experience

Work History

New Accounts Specialist

Raymond James & Assoc
03.2021 - Current
  • Point of contact for escalated calls and emails for complex deceased client problems for internal associates and branch personnel.
  • Collaborate with various internal departments to ensure a seamless process for account updates and distributions due to death for various account types.
  • Liaison between back office departments and branch offices to research and resolve escalated issues regarding a decedent account; Follow and case manage the issue all the way through to resolution
  • Serve as a functional Subject Matter Expert to provide internal consulting on death topic
  • Contributes to department projects as needed
  • Audit Beneficiary Designation Forms for both Retail and IRA accounts to insure they meet regulatory guidelines.

Retirement Plan Service Associate

Raymond James & Assoc
09.2009 - 03.2021
  • Assisted with training and mentoring new associates by partnering with management and other senior associates to provide feedback and monitor new hires’ progress to determine next steps in their career development.
  • Independently handled AST e-mails, escalations and internal Help Desk phone calls, providing support to new associates who need assistance.
  • Collaborated with a small group of associates within RPS on a project focused on developing an easily accessible Phone Guide on the RPS SharePoint site.
  • Leader of the RPS Communications Team, responsible for communicating regulatory and procedural changes to the department.
  • Joint leader of Simple Employer mailing project
  • Project Leader of the 2020 annual procedure review.
  • Approved and processed all Complex processes in the RPS Department including Death, Divorce, Rollovers, Roth Conversions, and Recharacterizations.
  • Audited IRA transactions posted by other associates and branch personnel.
  • Assisted with procedure updates when changes occurred outside of the scheduled annual procedure review cycle to ensure associates remained up-to-date on changes.
  • Worked on special regulatory projects including the 315 report, standing withholding election audit, Roth IRA rollover audit, and Litigation audit.
  • Reviewed and researched complex issues and errors that occurred in retirement accounts to determine the root cause and recommend possible solutions.

Client Service Specialist

TD Ameritrade Inc.
06.2007 - 09.2009
  • Provided knowledgeable service and support for all customer needs.
  • Processed branch workflow, filing, scanning, and documented research and agreements in a clear and organized manner.
  • Assisted 10 Financial Advisors with paperwork and questions on customer accounts.
  • Assisted other Client Service Specialists as a team leader in writing and developing a CSS Training Manual.
  • Assisted with developing a lead CSS regional position and presented the idea to upper management.
  • Reported findings and recommendations of exceptions to department management for appropriate solutions and reported final findings to the Board of Directors.

Education

Bachelor of Science - Human Resource Development / Human Services

Oakland University
Rochester, MI

Skills

  • Efficient, flexible, and organized in performing multiple tasks in a fast-paced environment
  • Able to communicate clearly orally and in written form
  • Excellent Customer Service with patience, empathy, and problem resolution
  • Knowledge of internet search functions and internal document imaging software
  • Able to deal with high stress and difficult situations
  • Broad computer software knowledge, including Windows and Microsoft Office applications

Timeline

New Accounts Specialist

Raymond James & Assoc
03.2021 - Current

Retirement Plan Service Associate

Raymond James & Assoc
09.2009 - 03.2021

Client Service Specialist

TD Ameritrade Inc.
06.2007 - 09.2009

Bachelor of Science - Human Resource Development / Human Services

Oakland University

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Angela LaCroix