Caitlyn Urgiles
Orlando,FL
Summary
Detail-oriented financial services professional with extensive experience in account processing, custodial operations, and trade execution for RIAs. Manages complex workflows and ensures regulatory compliance while delivering high-touch client service. Proficient in Schwab, CRM documentation, and financial planning software.
Overview
1
1
Certification
10
10
years of professional experience
Work History
Client Service Associate
Real Financial
Orlando, FL
01.2026 - Current
- Served as primary contact for client service requests, ensuring proactive communication and consistent follow-through.
- Process new account transfers, beneficiary updates, distribution, and policy amendments.
- Prepared meeting materials and summaries, facilitating effective follow-up communications.
- Maintain CRM accuracy and organize compliant client files.
- Produce weekly/monthly reports and monitor pending business.
- Supported advisors by coordinating operational tasks and implementing workflow improvements.
Senior Trading Specialist
SEED Planning Group
Knoxville, TN
01.2024 - 01.2026
- Managed a $581M AUM portfolio with full regulatory accuracy.
- Streamlined account opening, funding timelines, and rebalancing workflows to enhance operational efficiency.
- Compiled investment holding reports ensuring compliance with regulatory standards and supporting insurance requirements.
- Executed trades across equities, ETFs, bonds, treasuries, and mutual funds, contributing to portfolio performance.
- Streamlined daily trading operations by refining procedures and strengthening workflow consistency.
- Advised internal teams on trade execution practices, supporting informed investment decisions and operational efficiency.
Trading Specialist
SEED Planning Group
Knoxville, TN
01.2024 - 01.2026
- Executed trades and reconciled files, enhancing accuracy in financial records.
- Ensured compliance with internal and industry regulations, mitigating risk exposure.
- Coordinated with custodians and brokers to resolve discrepancies, improving transaction integrity.
- Executed trade orders across client portfolios, maintaining accuracy, timeliness, and alignment with investment objectives.
- Coordinated with advisors, custodians, and portfolio teams to confirm order details and transaction instructions.
- Reconciled trade activity against account records, ensuring data integrity across reporting and operational systems.
- Reviewed compliance requirements for trading activity, supporting adherence to firm policies and regulatory standards.
Operation Specialist
SEED Planning Group
Knoxville, TN
10.2022 - 01.2024
- Processed account transfers, distributions, and beneficiary changes to ensure timely updates and compliance.
- Updated CRM records and prepared materials for advisor meetings to enhance client interactions.
- Developed an operations training manual to standardize processes and improve onboarding for new team members.
- Managed client onboarding workflows, ensuring accurate account setup and document completion.
- Coordinated scheduling, meeting preparation, and follow-up tasks for advisors and clients.
- Processed service requests, maintaining timely resolution and consistent administrative accuracy.
- Monitored account maintenance activities, verifying compliance with internal procedures and requirements.
- Streamlined operational processes to improve workflow efficiency and reduce avoidable errors.
- Collaborated with advisors and custodians to resolve account issues and service delays.
- Trained team members on office procedures, systems, and client service standards.
- Oversaw day-to-day operations, delegating tasks appropriately to ensure smooth workflow and timely completion of projects.
- Successfully managed multiple projects simultaneously while adhering to deadlines and budget constraints.
Administration & Customer Service
Solar Titan USA
01.2021 - 01.2022
Tax Preparer
Liberty Tax
01.2020 - 01.2020
Payroll Processor
Liberty Accounting
01.2019 - 01.2020
Cook
The Walt Disney Company
01.2019 - 01.2019
Direct Service Person
Life Bridges
01.2017 - 01.2019
Education
B.S. - Finance
Western Governors University
A.S. - Hospitality & Tourism Management
Chattanooga State
A.S. - Culinary Arts
Chattanooga State
A.S. - Business Administration
Chattanooga State
Skills
- Custodial Compliance
- Trade Execution
- Portfolio Support
- RIA Operations
- CRM Platforms
- Financial Planning Software
- Data Validation
- Reporting
- Workflow Optimization
- Microsoft Office Suite
Certification
- 2-15 (in process)
- Series 65
- Investment Foundation Certificate
- Certified Payroll Professional
- CPR & First Aid
- ServSafe Manager
- DIDD S ITIN
- CPI
- Golden Sneaker Initiative
Section name
- Willing to Relocate
- Open to Remote Roles
Timeline
Client Service Associate
Real Financial
01.2026 - Current
Senior Trading Specialist
SEED Planning Group
01.2024 - 01.2026
Trading Specialist
SEED Planning Group
01.2024 - 01.2026
Operation Specialist
SEED Planning Group
10.2022 - 01.2024
Administration & Customer Service
Solar Titan USA
01.2021 - 01.2022
Tax Preparer
Liberty Tax
01.2020 - 01.2020
Payroll Processor
Liberty Accounting
01.2019 - 01.2020
Cook
The Walt Disney Company
01.2019 - 01.2019
Direct Service Person
Life Bridges
01.2017 - 01.2019
A.S. - Culinary Arts
Chattanooga State
A.S. - Hospitality & Tourism Management
Chattanooga State
B.S. - Finance
Western Governors University
A.S. - Business Administration
Chattanooga State