James Schrock
Rockport,MA
Summary
Results-oriented Client Relationship Executive with a proven track record of driving client satisfaction, retention, and revenue growth. Skilled in developing and implementing client engagement strategies, analyzing data to identify trends, and resolving client issues to improve overall satisfaction scores. Adept at building strong relationships, delivering impactful presentations, and implementing innovative initiatives to increase client engagement and loyalty.
Overview
32
32
years of professional experience
Work History
Assistant Vice President, Client Flow Analyst
Wellington Management
04.2006 - 07.2023
- Coordinated and monitored cash flow activities firm wide
- Ensured client flow requests were received, captured and broadcasted accurately
- Worked closely with external clients and internal groups as the primary contact for cash flow related activity, participated in annual hedge fund meeting with investors
- Verified cash was invested/raised on a timely basis in order to minimize any performance impact
- Independently managed and completed cross-functional cash related projects
- Identified potential issues/opportunities and clearly articulated their impact to the portfolio management teams.
Investor Services Analyst
Wellington Management
04.2002 - 04.2006
- Worked with business team to facilitate monthly cash flows to Wellington Hedge Fund Management
- Coordinated cash flow communication to portfolio managers, Wellington manages approximately $12 billion in hedge fund assets
- Responsible for the management of external communication to Hedge Fund investors, consultants and contacts
- Implemented new procedures to improve overall efficiencies with the cash flow process
- Assisted with special projects within the group with the goal of leveraging technology and automation.
Client Relationship Manager
Investors Bank & Trust Company
10.1999 - 04.2002
- Established client contacts, coordinated closings of new business
- Responsible for overall relationship of institutional accounts established at Investors Bank & Trust
- Initiated relationship building by identifying and supporting opportunities for service enhancements.
Senior Client Relations Specialist
Putnam Investments
10.1997 - 10.1999
- Built and maintained external client relationships to ensure a high level of visibility for Putnam Investments
- Provided proactive communication to Putnam departments to facilitate opportunities for differentiation from client visits
- Tracked, trended and reported on operational deficiencies within Putnam
- Developed client visit and communication strategy used by department.
Wholesaler Support Services Representative
Putnam Investments
02.1996 - 10.1997
- Interpreted and resolved issues generated from Regional Marketing Directors
- Elevated awareness and subsequent reporting of error trends, enabling Putnam to respond to problems at the source
- Direct back up to sales force selling Putnam Products.
International Support Services Administrator
Putnam Investments
06.1994 - 02.1996
- Assisted marketing and transfer agent with daily activity of Putnam’s Embassy Funds
- Worked closely with legal department to insure compliance with international laws
- Made on-site visits to facility in Toronto to conduct training sessions for Putnam’s Offshore Funds.
Technical Administrator
Putnam Investments
11.1993 - 06.1994
- Served as direct liaison between Putnam and broker/dealer community
- Represented a team of administrators acting as an information resource and authorized approvals as needed
- Developed, maintained and fostered positive working relationship with assigned contacts of top producing firms.
Operations Specialist
Putnam Investments
10.1991 - 11.1993
- Provided brokers with information on fund trading, transaction processing, account maintenance and problem resolution
- Marketed the features, benefits and services offered by Putnam
- Composed and coordinated a program to train new operations specialist
- Honored and rewarded by management for customer service expertise.
Education
Masters of Science - Investment Management
Boston University
01.2005
Bachelor of Arts - Business Administration
Baldwin-Wallace University
01.1990
Skills
- Effective Relationship Building
- Performance Improvement
- Operations Management
- Team Leadership
- Program Administration
- Effective Leader
- PowerPoint
- Business Objects
- Decision Making & Judgment
- Issue Resolution Skills
Professional Development
- NASD Series 6 and Series 63
References
Available upon request.
Timeline
Assistant Vice President, Client Flow Analyst
Wellington Management
04.2006 - 07.2023
Investor Services Analyst
Wellington Management
04.2002 - 04.2006
Client Relationship Manager
Investors Bank & Trust Company
10.1999 - 04.2002
Senior Client Relations Specialist
Putnam Investments
10.1997 - 10.1999
Wholesaler Support Services Representative
Putnam Investments
02.1996 - 10.1997
International Support Services Administrator
Putnam Investments
06.1994 - 02.1996
Technical Administrator
Putnam Investments
11.1993 - 06.1994
Operations Specialist
Putnam Investments
10.1991 - 11.1993
Masters of Science - Investment Management
Boston University
Bachelor of Arts - Business Administration
Baldwin-Wallace University
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