Juan McKissick
Sr. Operations Specialist
Charlotte,NC
Summary
Results-driven senior operations specialist with 7 years in the financial service industry specializing in operations with a heavy focus on alternative investment and mutual fund products, with accomplishments in reconciliation review, reporting and project management.
Overview
8
8
years of professional experience
Work History
Trading Consultant I Mutual Funds
LPL Financial
Fort Mill, SC
10.2021 - Current
- Support mutual fund trading department in limited capacity during high volume trade periods or uncertain market conditions and fluctuations.
- Process mutual fund trades and other request received in mutual fund trading queue in timely and accurate manner.
- Communicate operational and financial industry policies and procedures.
- Accurately process routine financial transactions such as monthly or yearly systematic trades.
Senior Operations Specialist I Stock Records
LPL Financial
Fort Mill, SC
07.2017 - Current
- Identify workflow improvements and work with operations team to establish new procedures.
- Responsible for reconciliation and Quarterly counts related to SEC Rule 17a-13 for Alternative Investments department's pending purchase, re-registration and conversion boxes.
- Liaise with fund sponsors, depositories and other industry participates to research and resolve discrepancies.
- Identify improvement changes regarding key processes for internal controls and accounting procedures.
- Support management with special projects and additional job duties.
- Review, validate and process share class conversion requests including interaction with fund sponsors and LPL vendors.
- Process Alternative Investment private securities transactions that fall under FINRA Rule 3280 (Exchange Funds, Purchases and Transfers).
Senior Operations Specialist I Direct Business
LPL Financial
Fort Mill, SC
11.2015 - 07.2017
- Served as primary point-of-contact for all internal escalations and issues surrounding direct business products, including alternative investments, rep maintenance, networking, block transfers and branch trade reports.
- Provided superior customer service to service center partners on direct business support with focus on not in good order (NIGO) transaction inquiries.
- Researched complex service requests from general service center and service 360 teams.
- Communicated with internal departments to improve processes and met service level agreement.
- Revised departmental training materials, processes and procedures.
Client Support Specialist I Service Center
LPL Financial
Fort Mill, SC
09.2015 - 11.2015
- Managed over 50 client calls per day to facilitate resolution.
- Delivered outstanding service to clients to not only maintain but to extend relationship for future business opportunities.
- Collaborated with management to enhance customer service experience and exceeded team goals through effective client satisfaction rates.
- Prepared variety of different written communications, reports and documents.
Technical Support Analyst
LPL Financial
Fort Mill, SC
07.2015 - 09.2015
- Responded to incidents and requests within ticketing system, providing resolution within complex fast-paced business environment.
- Deployed and troubleshoot end user computing devices including laptops and desktops that are aligned within Home Office Security Policy .
- Adhered to Desktop and End User Computing processes, procedures, policies, and job aids.
- Collected and monitored incoming data from sources such as remote sensors, third party vendors and visual inspection.
- Analyzed issues to identify troubleshooting methods needed for quick remediation within established service level agreements.
Education
Certificate - Paralegal Studies I Civil Litigation
Meredith College
Raleigh, NCBachelor of Arts - Political Science I History
North Carolina Central University
Durham, NCWork Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Quote
There is a powerful driving force inside every human being that, once unleashed, can make any vision, dream, or desire a reality.
Tony Robbins
Accomplishments
- Led special alternative investment project that brought in directly held positions increasing LPL's AUM by over $7 million.
- Assisted with transition of manual stock exchanges to automation, which saved time and allowed for focus on other departmental initiatives.
- Consecutive quarters with zero outstanding items in pending purchase and re-registration locations, in order to comply with SEC rule 17a-13.
- Selected to Change Champions Network (CCN) in August of 2021, helping to implement organizational change, while ensuring adequate support for employees going through change.
Timeline
Trading Consultant I Mutual Funds
LPL Financial
10.2021 - Current
Senior Operations Specialist I Stock Records
LPL Financial
07.2017 - Current
Senior Operations Specialist I Direct Business
LPL Financial
11.2015 - 07.2017
Client Support Specialist I Service Center
LPL Financial
09.2015 - 11.2015
Technical Support Analyst
LPL Financial
07.2015 - 09.2015
Certificate - Paralegal Studies I Civil Litigation
Meredith College
Bachelor of Arts - Political Science I History
North Carolina Central University
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