Summary
Work History
Education
Skills
Affiliations
Timeline
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Nancy Baker

Florence,KY

Summary

Highly-motivated employee with desire to take on new challenges. Strong work ethic, adaptability, and exceptional interpersonal skills. Adept at working effectively unsupervised and quickly mastering new skills.

Work History

Client Service Manager

Raymond James
Cincinnati, OH
10/29/11 - 01/03/24
  • Provided outstanding service to new and long-standing customers by attending closely to concerns and developing solutions.
  • Responded to phone and online customer service requests within designated turnaround time to improve customer satisfaction ratings.
  • Resolved escalated customer complaints in a professional manner.
  • Developed and managed client relationships to ensure satisfaction with services provided.
  • Provided timely responses to customer inquiries and requests for service.
  • Collaborated with cross-functional teams on projects related to client service initiatives.
  • Demonstrated excellent communication skills in resolving product and consumer complaints.
  • Assisted in developing marketing materials aimed at increasing awareness about available services among customers.
  • Interviewed prospective employees and provided input to HR on hiring decisions.
  • Organized client contracts, records and reports to strengthen traceability.
  • Organized team activities to build camaraderie and foster pleasant workplace culture.

Compliance Associate

Wells Fargo Advisors
Cincinnati, OH
01/01/02 - 10/28/11
  • Conducted regular audits of company processes to identify areas of non-compliance.
  • Researched case law pertaining to specific areas of regulation relevant to the business.
  • Followed proper protocols for reporting suspected violations to internal personnel or outside governing agencies.
  • Coordinated activities between different teams within the organization related to compliance efforts.
  • Assisted with the development of new policies, procedures, and training programs related to compliance.
  • Maintained a database containing information about all current laws, regulations, policies, and procedures applicable to the organization's activities.
  • Monitored changes in relevant laws, regulations, and industry standards.
  • Verified documentation against compliance standards and communicated deficiencies to resolve issues.
  • Created reports summarizing findings from investigations into potential violations of regulations or policies.
  • Developed and maintained compliance tracking systems for internal use.
  • Supported internal and external auditing teams conducting impartial compliance reviews.
  • Issued clear warnings to violators, outlining infractions, penalties and remediation steps.
  • Collected and reviewed data to identify potential compliance issues requiring further review.
  • Enforced regulatory policies and procedures across different teams and programs.
  • Reviewed and updated compliance documentation to ensure accuracy and adherence to legal standards.
  • Maintained detailed database of compliance data, activities and actions taken.
  • Collaborated with other departments to ensure consistent application of compliance rules across the organization.

Education

High School Diploma -

Conner Senior High School
Hebron, KY
05-1994

Skills

  • Client Services
  • Account Management
  • Training and Mentoring
  • Account Updates
  • Report Generation
  • Schedule Management
  • Customer Relations
  • Report Preparation
  • Project Management
  • Handling Escalations
  • Workflow Management
  • Complaint Resolution
  • Schedule Coordination
  • Regulatory Compliance
  • Audit Support
  • Administrative Support
  • Excellent Time Management Skills
  • Cash Handling
  • Decision-Making
  • Workforce Management
  • Customer Service
  • Issue Resolution
  • Work Prioritization
  • Time Management
  • Staff Management
  • Team Building and Leadership
  • Problem-Solving
  • MS Office
  • Customer-Focused

Affiliations

  • Gardener
  • Baking/Cooking
  • Love music
  • Animal lover
  • Big Reds fan
  • Sports
  • Bird watching
  • Science nerd
  • Nature

Timeline

Client Service Manager

Raymond James
10/29/11 - 01/03/24

Compliance Associate

Wells Fargo Advisors
01/01/02 - 10/28/11

High School Diploma -

Conner Senior High School

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Nancy Baker