Lisa M. Chavez

• Delivered client service and operational support for retirement plan sponsors and consultants, ensuring effective plan management.
• Respond to client inquiries via phone and email regarding retirement plan administration and operational questions.
• Support plan administrators and sales consultants with plan implementation, restatements, terminations, amendments, and compliance documentation.
• Maintained CRM updates and facilitated client communications through mass emails and follow-up correspondence, enhancing engagement.
• Reviewed census data and managed contribution communications, fidelity bonds, and annual reporting preparation to support compliance.
• Send contribution action letters and documentation supporting plan administration activities.

• Prepared and validated IRS Form 5558 filings and verified Form 5500 submissions through the EFAST system.
• Assisted plan administrators with retirement plan compliance and operational tasks to ensure regulatory adherence.
• Coordinated annual report mailing packages and compliance documentation to facilitate timely submission.
• Entered new retirement plans into Datair and assisted with plan maintenance.
• Performed entry-level census scrubbing and supported vesting and contribution reasonableness calculations.
• Prepared summaries of plan provisions for Cycle 3 restatement projects.
• Compiled documentation for auditors and completed recordkeeper forms for plan updates to maintain accurate records.
• Assisted Trust Accounting with QuickBooks invoicing, loan and distribution fee tracking, and bank deposits.
• Prepared 1099-R forms for plans with brokerage accounts.

• Coordinated advisor-client meetings, ensuring effective communication through in-person meetings, Zoom calls, and conference calls.
• Managed client communications and confirmations for meetings and follow-ups, enhancing client engagement.
• Managed client onboarding activities, including documentation preparation and CRM data entry.
• Assisted advisors with quarterly review preparation, including Morningstar fund summaries and X-Ray reports.
• Provided comprehensive administrative support, facilitating smooth office operations through phone management, mail distribution, and overall coordination.

• Delivered retirement plan support to participants across 1,000+ employer plans, ensuring clarity and understanding of available options.
• Educated participants on retirement plan features, enhancing their knowledge of contributions, loans, rollovers, enrollment, and distributions.
• Clarified plan guidelines and processing timelines for retirement transactions, improving participant experience and transaction efficiency.
• Researched account issues and resolved participant inquiries with accurate and timely communication.

• Reviewed and processed IRA distribution and trustee transfer requests to ensure accuracy and adherence to regulatory compliance.
• Maintained strong knowledge of IRA accounts and applicable IRS guidelines.
• Resolved documentation issues by effectively communicating with receiving firms and clients regarding processing requirements.
• Cross-trained in document support operations to enhance team capability in handling incoming mail, including opening, sorting, and scanning.

Orchestrated client onboarding processes involving CRM data management and custodial account openings.
Oversaw termination of client accounts, ensuring accuracy in final billing and documentation.
Arranged meetings for senior investment counselors, incorporating reminder calls and welcoming clients professionally.
Compiled quarterly reports using PortfolioCenter, focusing on advisory fee uploads to custodians.
Documented revenue accurately through home office journal entries related to payments received.
Managed daily operations by answering phones, processing mail, and maintaining supplies.
Assisted with event invitations while enhancing overall client communication effectiveness.
Delivered consistent administrative support to create an organized environment for the advisory team.

• Facilitated client account management for financial advisors, ensuring accurate documentation.
• Managed communication between clients and investment teams, ensuring clarity and timely responses to client inquiries.
• Coordinated client meetings and kept thorough records of all interactions.

• Collaborated with client advisory center teams to streamline service request processes in a virtual environment.
  Resolved client issues during service request processing, ensuring timely and accurate solutions.
  Participated in company projects to enhance processes and improve service quality.
  Processed and followed up on phone team support requests to ensure consistent service delivery.
  Delivered exceptional customer service to internal and external clients through professional interactions.
  Applied verification policies to safeguard client accounts against identity theft and fraud.
  Maintained compliance with SEC/FINRA regulations and firm guidelines for all client interactions.
• Delivered exceptional customer service to clients and stakeholders.
• Collaborated with client advisory center teams to streamline service request processes in a virtual environment.Resolved client issues during service request processing, ensuring timely and accurate solutions.Participated in company projects to enhance processes and improve service quality.Processed and followed up on phone team support requests to ensure consistent service delivery.Delivered exceptional customer service to internal and external clients through professional interactions.Applied verification policies to safeguard client accounts against identity theft and fraud.Maintained compliance with SEC/FINRA regulations and firm guidelines for all client interactions.

• Supported retirement and retail account operations, including account setup, investment changes, loan processing, and withdrawals.
• Investigated account discrepancies, verified documentation, and ensured compliance with regulatory standards.
• Acted as subject matter expert and backup associate for 401(k) meeting team.
• Coordinated employee training sessions and developed procedure documentation.