Summary
Overview
Work History
Education
Skills
Certification
Timeline
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Marelle Sylvester

Charlotte,NC

Summary

Licensed financial professional with over 19 years' experience in many aspects of the wealth management and banking industry. Results-oriented with a great working knowledge and understanding of relationship management, while ensuring institutional integrity. Self-motivated with a drive to continuously achieve personal and professional growth while working in highly adaptable and dynamic work environments.

Overview

19
19
years of professional experience

Work History

AVP, Escalations Specialist - Registered

Wells Fargo
03.2023 - Current
  • Participates in researching and resolving complex FINRA complaints with significant organizational impact, and identify opportunities to determine appropriate courses of remedial action. Conducts investigative steps to fully identify the issues within defined scope of responsibilities
  • Manages various projects including department intake coverage and FINRA case management process
  • Championed and managed the implementation of a new process within the department, enhancing staff proficiency and productivity
  • Conducts training programs on efficient case management, leading to higher production and performance
  • Initiated and presented process improvement project to senior leadership regarding enhancing overall client experience
  • Collaborated on the merger of procedures implemented within the line of business, reducing duplication of resource material information

Escalations Associate

Wells Fargo
03.2022 - 03.2023
  • Determined appropriate course of action by conducting research to identify issues, and provide resolution to client via verbal or written communication
  • Reviewed escalated inquiries and complaints, and ensured resolution of sensitive and time critical matters
  • Consulted with SME regarding difficult and complex transactions, and determine appropriate course of remedial action for resolution in timely manner
  • Proposed establishment of a new committee (Engagement & Action Committee), dedicated to organizing team events and activities within department

Client Service Administrator

ClearPath Financial Partners
10.2020 - 02.2022
  • Streamlined operational processes and led team on implementation of process improvements
  • Strategized with teams on creating increased client satisfaction and retention, as well as identifying marketing opportunities for new business
  • Developed and maintained long-term relationships with clients, while fostering strong service bonds
  • Managed diverse projects and resolve complex issues to support timely completion
  • Managed Compliance aspect to ensure team adhered to required policies

Virtual Solutions Consultant

LPL Financial
10.2018 - 10.2020
  • Trained and developed new junior consultants on establishing efficient procedures to support assigned advisors
  • Designated as consultant to repair and retain business relationships with internal clients considering leaving program
  • Formed meaningful relationships with assigned broker dealer offices
  • Researched complex situations, set client expectations, and defined actions necessary to resolve inquiries in timely manner
  • Communicated and collaborated with business partners to ensure clients’ expectations were met for timely service delivery.

Registered Client Associate

Merrill Lynch
03.2014 - 06.2018
  • One of elite 2015 Top 1,000 Client Associates in Merrill Lynch
  • Cultivated and strengthened relationships with new clients and educated clients on account services and capabilities
  • Instrumental in collaborating with Financial Crimes department with apprehending suspects convicted of fraud against elderly client in 2018
  • Ensured 100% customer satisfaction by aptly entering requested trades while analyzing client portfolios determining any additional services needed
  • Prepared for and coordinated marketing events, created marketing compliance documentation, and managed event marketing reimbursement to increase customer base and grow revenue.

Education

Master of Business Administration -

University of North Carolina
Pembroke, NC
2021

Bachelor of Arts - Business Administration in Marketing

University of The Virgin Islands
St. Croix, VI
2009

Skills

  • Leadership
  • Client Relationship Management
  • Risk Management
  • Superior Customer Service
  • Problem-solving
  • Organizational & Interpersonal

Certification

FINRA, Series 10

FINRA, Series 7

FINRA, Series 63

FINRA, Series 65

FINRA, SIE (grandfathered)

Timeline

AVP, Escalations Specialist - Registered

Wells Fargo
03.2023 - Current

Escalations Associate

Wells Fargo
03.2022 - 03.2023

Client Service Administrator

ClearPath Financial Partners
10.2020 - 02.2022

Virtual Solutions Consultant

LPL Financial
10.2018 - 10.2020

Registered Client Associate

Merrill Lynch
03.2014 - 06.2018

Master of Business Administration -

University of North Carolina

Bachelor of Arts - Business Administration in Marketing

University of The Virgin Islands

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Marelle Sylvester