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
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
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
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
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
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
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