Mindy Lal

• Acted as a primary point of contact for clients, providing exceptional service and maintaining the highest level of confidentiality and discretion in all business matters.
• Provided back-office investment operations support to financial advisors and their clients while working closely with our custodian, Fidelity, and Charles Schwab to execute all client service requests.
• Ensured new business paperwork is accurately and successfully submitted. This includes preparing forms to be presented to clients, obtaining appropriate signatures, submitting, and following up on new account documentation.
• Submitted and processed certain operational requests as instructed by the advisor. These may include funds distributions, deposits of checks and journals, client, and account updates, ACAT initiation, and other operational tasks.
• Coordinate with the wealth advisors to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and unmet RMDs.

• Settles CLO trades for over $20MM a day while keeping track of any monetary transactions that may occur in account
• Updated daily cash position through analysis, investigation, and reporting on key movements and trends in the profit and loss lines, increasing earnings by 25%
• Provide financial guidance to Business/Functions, and assist in decision-making, contributing to a 13% growth trend by developing strategic long-range planning recommendations for management
• Perform a comprehensive analysis of financial issues (debt) and in-depth market share and industry report that increased market share by 19%, thereby increasing revenue by $1.2M

• Responded to client questions by phone and email
• Executed assigned client maintenance tasks and review meeting actions alongside scheduling client meetings
• Processed financial transactions that includes but not limited to depositing client checks ,processing money movements, submitting trade instructions and executing Roth conversions
• Prepared death claim paperwork and managing account settlement process also notified custodian of the deceased's passing to initiate the necessary procedures.

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