LISA SMITH
Summary
Reliable and organized Client Associate with 17 years of experience in financial services. Skilled in clear communication and time management. Attentive to detail and accuracy and easily adapts to rapidly changing business and technology environments. Demonstrates strong analytical and teamwork skills. Brings a positive attitude and commitment to continuous learning and growth.
Overview
22
22
years of professional experience
Work History
Registered Client Associate
Financial Northeastern Companies
06.2008 - Current
- Performs both monetary transactions and account maintenance for a 4 billion dollar real estate company with over 2,000 accounts. Ensures proper due diligence and the necessary documentation to satisfy the compliance requirements.
- Supports multiple brokers in reconciling account activity, placing trades and various other financial transactions in credit union, bank, trust company and retail/retirement accounts.
- Effectively facilitates the new client onboarding process and investment account setup.
- Provides high level customer service ensuring critical requirements, due dates and deadlines are completed effectively and efficiently.
Client Associate
Merrill Lynch
08.2005 - 09.2007
- Provided administrative support to client accounts and assisted in preparing client reports and other related material.
- Researched and resolved discrepancies in client accounts.
- Coordinated with other departments to ensure clients needs were met.
Problem Resolution/Distribution Specialist
Merrill Lynch
10.2003 - 08.2005
- Handled heavy volume of customer inquiries, concerns and issues in call center environment.
- Conducted research to resolve client inquiries and made 30-50 follow up calls daily for notification of changes and updated information.
- Participated in several Six-Sigma team projects focused on quality control and the improvement of business processes and efficiency.
Education
Bachelor of Arts - Liberal Arts
Franklin & Marshall
Lancaster, PA05-2001
Skills
- Microsoft Suite
- NetX 360 (Pershing Platform)
- SalesLogix (CRM)
- Trade Web
- Bond Point
- Bloomberg
Licenses
Series 7 and 63
Timeline
Registered Client Associate
Financial Northeastern Companies
06.2008 - Current
Client Associate
Merrill Lynch
08.2005 - 09.2007
Problem Resolution/Distribution Specialist
Merrill Lynch
10.2003 - 08.2005
Bachelor of Arts - Liberal Arts
Franklin & Marshall