Lisa Harris

Operations

• Opening brokerage accounts and completing transactions
• Maintaining CRM system with up-to-date client information
• Managing workflows and tasks via CRM
• Tracking internal client agreements
• Onboarding clients (project management)
• Performing administrative tasks such as printing and mailing rafting trades (rebalancing)
• Sending custodial or Company agreements for e-signature
• Responding to any account maintenance/cash requests
• Assisting with rollovers and periodic distributions from qualified plan
• Assisting in linking held-away accounts (ByAllAccounts)
• Re-routing non-operational questions to advisors
• Setting up Tamarac Client Portals
• Reporting
• Maintaining and updating Tamarac AdvisorView (portfolio accounting system)
• Maintaining and updating Tamarac Rebalancer (portfolio management system)
• Helping manage missing, unreconciled or unsegregated accounts in Tamarac
• Producing, assembling, and distributing quarterly performance reports
• Custodian Interaction
• Opening, closing, linking, updating, and maintaining accounts
• Clarifying transactions or issues

• Performed under multiple SBA roles as needed such as Loan Processor, Loan Officer, Underwriter and Case Manager
• Post Compliance and loan modifications
• Complete credit verifications also examination and review of loan applications in order to determine the applications qualified for approval.
• Independently review and managed loan files to ensure the completeness of the file also email or call clients for required documents to complete loan application process
• Process cash flow analysis to determine financial liability and ability to repay
• Attentively reviewing all assigned documents and performing due diligence when handling fraudulent and suspect documents
• Performing according to the SBA regulations and ensuring that the quality and compliance of all required documents received are reviewed and processed according to the SBA guidelines and regulations
• Reporting loan and document status to supervisors in order to reach weekly performance and production goals
• Attentively review of all assigned documentation and perform due diligence when handling fraudulent or suspicious activity and documents
• Obtain necessary information to prepare loan documents such as financial statements, tax returns Limited Liability Enterprise, Resolution of Board also proof of Insurance on collateral.

• Reviewed processed and followed up on various brokerage account requests including asset movement requests, IRA distributions, Mutual funds and journals between brokerage accounts, alternative investment processing and other cash and asset processing.
• Interacted with Financial Advisers and clearing firms on routine brokerage account processing requests.
• Provided timely updates and statuses in contact with management and workflow systems, while paying close attention to detail, processing work accurately and working on repetitive tasks.
• Responded internal and external calls including researching, problem solving, entering data into contact management system and providing timely follow-up communication.
• Responsible for the accurate and timely processing of routine and complex transactions that support the activities associated within Brokerage Operation and special projects.
• Provided a high level of service and support to independent financial advisers nationwide

• Performed day-to-day functions related to the company benefit plans and eligibility, involving enrollments of medical, accidental, dental and vision also processed qualifying events and terminations request
• Primary point of phone, email and mail contact to employers, groups and clients pertaining to benefit coverage related matters and questions
• Reviewed and entered member eligibility information
• Processing of all general member changes affecting billing
• Calculation of effective coverage dates based on new member eligibility
• Maintained accurate member records along with additional information pertaining to the member’s account.

• Responsible for the stability of our global network infrastructure by helping clients with various aspects of transaction processing, including troubleshooting devices, submitting cases, statement management and ticket- issue resolution
• Responsible for answering account questions, researching account information, remote access into devices and providing technical support and troubleshooting for their Clover cloud-based point of sale devices
• Account activation inquiries and researching potentially fraudulent activity with a full range of software products and services
• Diagnostic of IT hardware software and printer products also replacing devices as needed
• Utilized problem solving tools by using appropriate documented procedures and checklists.

• Greeting office visitors and members, while explaining service, answering questions and assisting with new members with application process
• Inbound/outbound calls also data entry of notes in account
• Resolving complaints of minor complexity, while requesting information and finding resolution to problems and providing a high level of member satisfaction
• Responded to tickets request, while keeping a record of member accounts and escalating to the appropriate queue for a quick resolution
• Handling of billing issues such as billing adjustments, reimbursements and credits
• Kept track of member’s survey feedback also NPS scores and monthly revenue through Medallia and presented quarterly presentations.