LUKE SUGRUE

Led Operations in raising AUM 4% by: identifying all outstanding client funding tasks, creating client outreach efforts, and assisting clients with completion of funding recommendations.

• Independently led clients through investment transactions, including rollovers, ACATs & non-ACATs, annuity transfers, and inherited retirement plans

• Responsible for 4- 6 client meetings per day, monitoring each investment transaction through completion

• Reviewed and completed any necessary paperwork required to complete rollovers and/or retirement account transfers

Trading Operations Specialist

• Coordinated back-office trading and money movement via Orion Eclipse to ensure timely and accurate processing

• Assisted in account reconciliation and daily rebalancing of proprietary model portfolios via Orion Eclipse

• Monitored daily transaction reports via Orion to identify, review, and escalate any potential high-risk transactions

Investment Operations Specialist

• Supported all back-office requests related to establishing new accounts, reviewing and submitting client transfers, and handling client maintenance requests

• Researched and resolved complex client requests and partnered with lead planners to offer creative solutions

• Worked directly with financial custodians (Apex Clearing, Charles Schwab, Fidelity, and TD Ameritrade) to submit client requests, review for status updates, and resolve not in good order items

• Communicated with clients by email, phone, and Zoom during different lifecycle stages (onboarding, planning, and service) to ensure a smooth and insightful client experience

Increased client preparedness for conversion by over 30% through reinforcement of materials, answering client inquiries, providing necessary resources, and preparing training sessions. Developed and implemented metrics to measure and improve the effectiveness of client meetings by 20%.

• Primary contact for upwards of 50 Financial Institutions during their conversion to proprietary card services technologies (eEPOC)

• Led clients through scheduled meetings during project plan milestones to provide instruction on new platform features

• Created project plans and task lists specific to individual clients based on size and complexity

• Established and updated client databases and other system parameters in production environment for automated processes to run pre-conversion

• Supported personal and business electronic banking services including online banking, bill pay, e-statements, mobile banking, ACH, and remote deposit capture

• Assisted risk and compliance to identify and respond to fraudulent activity within electronic delivery channels

Project Specialist

• Developed business scenarios for testing to validate system functionality and interfaces, in preparation for account processor core conversion (Fiserv DataSafe to Fiserv DNA)

• Implemented jobs and interfaces within new core for deposit operations, loan operations, and card services to ensure proper functionality post-conversion (Fiserv DNA, Loans PQ, Fiserv eEPOC)

• Performed data testing and validation to ensure test, mock, and go-live data conversions were accurate

• Wrote policies and procedures for deposit operations and card services to maintain NCUA, VISA, and FFIEC compliance

Financial Service Representative

• Actively sold credit union products that best assisted members in reaching their financial goals while providing the highest level of member service and product knowledge

• Originated and funded consumer loan applications including auto loans and HELOCs via Loans PQ

• Opened and modified consumer and business accounts, IRAs, and CDs via Fiserv DataSafe