Ashleigh Newell
Poughkeepsie
Summary
Proactive financial services professional with a focus on risk evaluation and effective communication. Adept at investigating complex issues and collaborating with cross-functional teams to enhance client trust and satisfaction.
Overview
1
1
Certification
14
14
years of professional experience
Work History
Senior Client Service Representative
New York Life Insurance Co
New York
05.2025 - Current
- Ensure compliance with FINRA, SEC, and company policies while servicing variable annuity and retirement investment accounts.
- Review account documentation and transactions for accuracy, completeness, and adherence to regulatory requirements.
- Investigate and resolve complex account issues through collaboration with internal operations and compliance teams, enhancing client satisfaction and trust.
- Maintain detailed records to ensure audit readiness and uphold regulatory compliance, contributing to operational accuracy and integrity.
- Exceed quality and productivity standards while safeguarding confidential client financial information, reinforcing commitment to client service excellence.
Financial Services Professional
Prudential Advisors
New York
09.2024 - 04.2025
- Evaluated client financial information, recommending tailored insurance and investment solutions that met regulatory standards.
- Educated clients on investment and insurance products while adhering to FINRA and company policies.
- Reviewed applications and supporting documentation for compliance and completeness, ensuring accurate submissions.
- Maintained accurate client records and documentation, facilitating internal compliance and audit processes.
Financial Services Professional
New York Life Insurance Co
Melville
09.2022 - 08.2024
- Assessed client financial objectives and risk profiles to develop tailored insurance and retirement strategies that align with client goals.
- Educated clients on life insurance and retirement products, ensuring understanding of compliance with industry regulations.
- Conducted policy reviews and ensured application accuracy throughout the underwriting process.
- Prepared and maintained client documentation in accordance with regulatory and company requirements.
- Protected confidential financial information while delivering exceptional client service in a highly regulated environment.
Dispute and Fraud Analyst
CardWorks Servicing
Woodbury
09.2012 - 10.2015
- Investigated potentially fraudulent account activity through transaction analysis and documentation review to protect company assets.
- Identified suspicious activity and escalated complex cases to mitigate financial risk while adhering to company procedures.
- Maintained accurate investigative records to ensure compliance with audit and operational standards.
- Collaborated with cross-functional teams to resolve fraud cases while protecting customer accounts.
- Managed a high-volume workload with exceptional accuracy, attention to detail, and adherence to quality standards.
Education
Bachelor of Arts - Economics
SUNY, Purchase
Purchase, NY05-2021
Bachelor of Science - Communication
SUNY, Purchase
Purchase, NY05-2021
Skills
- Compliance with regulations
- Audit compliance
- Data integrity and oversight
- Issue resolution and escalation
- Risk evaluation
- Client account management
- Communication effectiveness
Certification
- New York State Life, Accident, Health Insurance License
- Investment Company and Variable Contracts Products Representative, Series 6
- Uniform Securities Agent State Law, Series 63
Timeline
Senior Client Service Representative
New York Life Insurance Co
05.2025 - Current
Financial Services Professional
Prudential Advisors
09.2024 - 04.2025
Financial Services Professional
New York Life Insurance Co
09.2022 - 08.2024
Dispute and Fraud Analyst
CardWorks Servicing
09.2012 - 10.2015
Bachelor of Arts - Economics
SUNY, Purchase
Bachelor of Science - Communication
SUNY, Purchase