KAREN DEMPSEY
Rockville,USA
Summary
Enthusiastic and well organized with solid background in data entry, problem solving, multi-tasking and customer/client service skills. Detail-oriented professional offering excellent communication, writing and computer skills. Meets deadlines without compromising quality and adhering to compliance. Has the proven ability to research data and produce quality products/results. My high impact leadership responsibilities allow for creativity and innovative approaches towards problem solving and strategy development. Seeking a career that will allow me to translate my dedication, professionalism and business acumen with a company that promotes professional growth and leadership.
Overview
20
20
years of professional experience
Work History
Client Service-Client Service Associate/Client Service
Wealthspire
Potomac, MD
07.2025 - Current
- Process account onboarding, including preparation of Advisory Agreements and custodial account agreements utilizing Custodian Platforms/Portals including but not limited to Salesforce, Wealthscape and Schwab Advisor Center.
- Manage custodial inquiries and account maintenance through resolution and general account maintenance.
- Develop and maintain strong relationships with Clients, Advisors and other team members across the firm.
- Handle all Asset Movement Requests with the Clients and at the Custodial level from initiation to completion, including re-ordering of checks, charitable giving confirmations, check processing, wires, ACH’s, Journals, etc.
- Answer phone calls and/or resolve client issues as needed.
- Support Retirement Account Rollovers, RMD Requests and reconciliation of transferred assets.
- Assist with Separately Managed Accounts and subdocument processing.
- Collaboratively work with other Wealthspire Team Members and Custodians such as Schwab and Fidelity with coordinating preparation and submission of client paperwork.
- Assure accuracy and timeliness of all custodian work.
Client Operations Associate/Resource Specialist
Wealthspire Advisors
Potomac, MD
12.2022 - 07.2025
- Prepare required paperwork and facilitate client account opening and maintenance at custodians and with money managers.
- Process all money movements such as journal requests, wire transfers, EFT's, ACH Transactions etc.
- Relay key information to Client Facing service team members.
- Maintain required logs and supporting documentation for compliance-related purposes.
- Serve as internal resource for all investment implementation, account servicing and custodian-related inquiries and manners.
Administrative Assistant
Sandy Spring Trust
Olney, MD
11.2019 - 12.2022
- Assisted the Chief Operating/Compliance Officer with various regulatory matters including audit related materials, calculated and prepared collectivization spreadsheets for Trust Deposit Accounts.
- Provided assistance to Financial and Estate planners which included event planning for seminars, sat in client meetings and prepared client paperwork and files.
- Created and updated trust accounting system and assisted with Ira mailings.
- Ordered supplies and assisted with general support activities.
- Provided backup to Trust and Operations team as needed.
- Reconciled Trust DDA account.
- Sorted mail and accepted deliveries.
- Coordinated client and department meetings as needed.
- Set/reset clients on online access for their accounts.
- Prepared monthly excel spreadsheet for outstanding checks and communicated information with Trust Administrators.
Advisor Support Specialist
Hbeck Inc
Rockville, MD
12.2015 - 08.2019
- Processed brokerage account service requests, which included but not limited to new account openings, account maintenance, entering w-9's and money market changes.
- Processed direct business which included but not limited to mutual funds, variable annuities, alternative investments, financial plans, amongst other various investment products.
- Directly communicated with Pershing for client and financial advisors' questions regarding account set up changes and follow-up.
- Prepared and maintained various excel spreadsheet logs.
- Ensured that all required documents were on file and in good order to perform opening of New Accounts and transactions.
- Performed quality check on all clients' accounts and records to ensure information was current.
- Provided excellent customer service skills to reps and occasionally clients both verbally and through electronic channels.
- Followed up with reps regarding items that were not in good order to ensure that current service level standards were properly executed.
Branch Operations Specialist II
Capital One Bank
McLean, VA
06.2013 - 11.2015
- Supported Multiple Branches/Regions with Inquiries around Policies, Procedures and Compliance standards to ensure that guidelines were properly executed.
- Reviewed Legal Documents such as POA's, Trusts and Judgement of Possessions to solidify bank compliance and document requirements were met.
- Monitored calls to exceed quality goals and/or expectations.
- Additionally extensive research was required to achieve the proper guidelines around procedures.
- Reviewed, tracked and maintained various reports to validate that documents and content was correct and reported accurately to minimize errors.
- Assisted branches/departments with maintenance requests such as fee reversals for client retention/satisfaction.
- Occasionally maintenance requests were fulfilled due to in branch errors.
- Audited branch policies and procedures to ensure that resources were updated for bank personal usage.
- When necessary submitted intake forms to get procedures corrected.
Teller Manager/Branch Designee/Relationship Banker/Acting Branch Manager
Capital One Bank
Gaithersburg, MD
03.2006 - 06.2013
- Controlled and Monitored branch cash box/vault so that branch cash needs were met and the banks use of funds were at minimal risk.
- Conducted quarterly audits of ATM's, teller cash drawers, logs, cashier's checks and other Branch Audit Compliance components to validate branch was compliant.
- Responsible for managing teller line and lobby, performed platform sales, maintenance request and was an active branch manager when one was not available.
- Provided daily oversight and assistance to teller/platform staff when processing transactions, assisting customers, including but not limited to approvals/override.
- Conducted meetings with staff to discuss operational challenges, fraud, security breaches, compliance issues, etc.
- Additionally, was able to provide training on pertinent topics.
- Monitored and maintained customer/client account maintenance to validate and confirm that proper products and services were being offered to meet client's needs.
- Was responsible for attending to client issues/escalations and suggesting best possible solutions and best practices.
Education
Associates - General Studies, Business Administration
Montgomery College
Rockville, MD05-2009
High School - undefined
Wheaton High School
Wheaton, MD05-2005
Skills
- Customer/Client Support, Call Center, Desktop Support, Administrative Support, Management (10 years)
- Data Entry
- Help Desk
- Customer Service
- Direct Support
- Intake Experience
- Financial Planning
- Network Support
- Banking
- Wealth MGMT Experience
- Excellent written, communication and presentation skills
- Proven ability to work in an ever-changing environment while maintaining exceptional client relationship building techniques
- Experience with CRM and Salesforce
- Experience with Wealthscape Platform
- Research and Resolve complex data issues
- Intermediate to advanced knowledge of Microsoft Suite Programs
- Partnering with other resources to get things done in a timely proficient manner
- Ability to interact with and assist management leadership teams to provide best in class service to clients and other companies/departments
- Capable of multi-tasking various priorities and meeting deadlines without compromising quality
- Ability to work independently and sufficiently with a group while still being able to deliver company's expectations
- Exceptional client service skills and operationally sound
- Types 75 wpm
- Ability to make sound ethical decisions on the company's behalf
- Attention to Detail, Filing and Data Archiving
- Train and educate other associates and peers on system software, computer enhancements and policies and procedures
Accomplishments
- Led Entire Department Training Session for Process on Preparing Investment Management Agreements (Wealthspire Jan. 2025-June 2025).
- Team Member on the Trust Investment Committee and prepared the Trust Investment Committee Packet and Agenda for Compliance and Investment Officers on a Monthly Basis (While Employed with Sandy Spring Trust Nov. 2019-Dec. 2022).
- Branch Ambassador for Various Retail Banking Centers ( Previously while Employed with Capital One Bank Mar. 2006-June 2013).
Languages
Spanish
Limited Working
Timeline
Client Service-Client Service Associate/Client Service
Wealthspire
07.2025 - Current
Client Operations Associate/Resource Specialist
Wealthspire Advisors
12.2022 - 07.2025
Administrative Assistant
Sandy Spring Trust
11.2019 - 12.2022
Advisor Support Specialist
Hbeck Inc
12.2015 - 08.2019
Branch Operations Specialist II
Capital One Bank
06.2013 - 11.2015
Teller Manager/Branch Designee/Relationship Banker/Acting Branch Manager
Capital One Bank
03.2006 - 06.2013
High School - undefined
Wheaton High School
Associates - General Studies, Business Administration
Montgomery College