Experienced senior-level professional with a diverse background in finance, including roles in banking, treasury operations/management, wealth management, and financial analysis. Utilizes data-driven insights and a blend of interpersonal and analytical skills to support clients and partners in making informed decisions that optimize portfolio performance and financial management. Has exceptional feedback fluency that enables effective reception of constructive feedback, and strong communication skills that facilitates collaboration across diverse teams.
● Accurately and efficiently performed comprehensive account and service functions.
● Responded to client requests for Folio’s investment products and services and taught clients concerning different types of options trading, rules, and regulations regarding trading.
● Assisted operations teams by providing information to clients and advisers regarding transfer processes, including ACATs and non-ACATs.
● Placed trades for securities and mutual funds for clients in the capital markets.
● Provided information to clients concerning cash management transactions, IRA contribution deposits, track outgoing and incoming checks, and explained funds transfer processes (ACH and WIRE).
● Sought to solve client problems in an expedient manner using Salesforce.
● Proactively followed compliance/risk procedures and maintained focus on the best interests of the client.
● Identified and analyzed suspicious account transactions and, when necessary, escalated cases to Risk Control and Compliance departments to file SAR (Suspicious Activity Report) documents. Also tasked to identify and analyze the suspicious movement of client cash and securities and escalated cases to Risk Control and Compliance departments to file CTR (Currency Transaction Report) documents.
● Reported fraudulent accounts to company Risk Control and Compliance departments for possible further investigation.
● Contributed my communication skills to provide voiceover projects, including training videos and company-wide voicemails.