JANELL RICHARDSON
Principal Financial Group
Charlotte,USA
1
Certification
12
Years of experience
Results-oriented customer service professional with 10 years in financial services and client relationship management. Led and developed teams to enhance operational efficiency using CRM and ticketing platforms, including Salesforce and Jira. Managed complex escalations, trained new hires, and implemented strategic workflow solutions in fast-paced environments. Seeking a Customer Service Manager role to leverage leadership and process improvement skills.
Work History
Broker Dealer Counselor II
4 Years 2 Months- Streamline onboarding processes by guiding advisors, reps, and clients through complex paperwork submissions and building new customer accounts online.
- Leverage Salesforce CRM to manage advisor relationships and utilize Jira to submit, track, and resolve system technical tickets and account exceptions on behalf of advisors and clients.
- Partner with internal departments and technical teams to escalate and resolve high-impact service bottlenecks efficiently, improving overall advisor satisfaction scores.
- Serve as primary contact for financial advisors and clients, delivering full scope support to resolve complex service inquiries and strengthen advisory partnerships.
- Execute securities trades and process high-volume withdrawals, account transfers, and retirement account transactions with total accuracy.
- Trained and coached new hires on broker-dealer operations, onboarding paperwork, and Salesforce navigation, accelerating time-to-productivity and enhancing initial service accuracy.
Retirement Specialist II Team Mentor
5 Months- Oversee day-to-day administration of ESOP, Non Qualified, and Defined Benefit plans, ensuring strict compliance with plan guidelines and regulatory requirements.
- Process 60+ participant transactions daily including contributions, cash distributions, loans, and rollovers with zero errors and optimal operational efficiency.
- Verify document accuracy on complex, multi-tiered file submissions, leading cross-departmental research to quickly resolve high-priority administrative requests.
- Train new employees on foundational administrative procedures, compliance frameworks and operational best practices to build a highly efficient team.
- Enhance advisor and client engagement by delivering strategic retirement planning solutions, expert product guidance, and proactive compliance support.
- Serve as primary point of contact for institutional clients, managing relationships regarding plan features, investment options, eligibility criteria, and financial statements.
Financial Services Representative
3 Months- Account Operations: Processed monetary transactions, opened new client accounts, and administered ongoing account maintenance including SMA account setup and IPS documentation in a high-volume, compliance-driven financial services environment.
- Complex Issue Resolution: Partnered with cross-functional teams to investigate and resolve escalated client issues, delivering timely, accurate solutions that maintained client trust and satisfaction.
- Service Quality Improvement: Championed adoption of customer service best practices, producing measurable gains in client satisfaction through streamlined workflows and proactive client engagement.
- Client Onboarding: Served as the primary liaison between clients, financial advisors, and internal operational teams, applying project management principles to facilitate smooth and efficient onboarding transitions.
Trainer & Escalation Lead
5 Years 8 Months- Inquiries & Support: Handled 50+ daily inbound calls and emails from policyholders and brokers regarding account values, death benefits, and annuity products terms.
- Documentation: Maintained secure, detailed logs of client interactions and financial updates within CRM administrative databases.
- Issue Resolution: Investigated and resolved escalated customer complaints, coordinating with internal accounting and operations teams to meet strict Service Level Agreements.
- Compliance & Risk: Ensured all policy modifications adhered to state insurance regulations, FINRA guidelines, and company suitability standards.
- Trained and mentored new hires, resulting in a 25% improvement in transaction accuracy and service delivery metrics.
- Organized team huddles and led knowledge-sharing initiatives to align operational goals, address complex annuity updates, and boost team morale.
Insurance Sales Assistant
7 Months- Regulatory Compliance & Licensing: Maintained strict adherence to state insurance regulations, binding guidelines, and carrier suitability standards for every generated policy.
- Fast-Paced Pipeline Management: Utilized proprietary CRM systems and digital quoting software to rapidly input data, issue accurate policy quotes, and bind coverage in a metric-driven, competitive sales environment.
- Strategic Policy Bundling: Maximized agency premium growth by identifying cross-sell opportunities, effectively bundling auto and home coverage with umbrella liability policies to secure comprehensive asset protection.
- Asset Protection & Risk Advisory: Evaluated individual client risk profiles to recommend tailored coverage structures, ensuring optimal protection limits across multiple personal lines.
- High-Volume Sales Execution: Handled high-volume inbound calls from warm leads, qualifying prospects to sell Auto, Home, and Umbrella insurance policies.
Education
High School Diploma
Skills
Investment Strategies
Staff coaching
Conflict resolution
Process optimization
Cross-department collaboration
Customer service management
Securities Trading
Process improvement
CRM tools
Registered Investment Advisor
Securities Licensing
Financial Regulations
Certification
SIE – Securities Industry Essentials, Series 6 – Investment Company and Variable Contracts Products, Series 63 – Uniform Securities Agent State Law
Timeline
Broker Dealer Counselor II
Principal Financial Group
08.2022 - CurrentRead More
Retirement Specialist II Team Mentor
Principal Financial Group
03.2022 - 08.2022Read More
Financial Services Representative
Vanguard
10.2021 - 01.2022Read More
Trainer & Escalation Lead
DXC Technology
10.2015 - 06.2021Read More
Insurance Sales Assistant
Red Ventures
03.2015 - 10.2015Read More
Queensborough Community College
Read More
Martin Van Buren High School
High School Diploma
Read More