Regena Mack

• Answered inquiries and provided information to sales representatives, distributed appropriate paperwork, and fulfilled quote requests to deliver excellent customer support.
• Conducted research to answer questions and handle issues using multiple systems and resources.

• Demonstrate ownership and follow through when reviewing workflows, exceptions and anomalies and offer practical solutions.

• Possess a broad mastery of service and administrative functions, including in-depth knowledge of complex product features and processing systems.

• Participate in our Quality Assurance program by reviewing processed items, reporting outcome and training according to documented procedures.

• Fully support operationally our Non-Purpose Lending program.

• Develop, analyze, and maintain metrics from measuring

• Serve as point of contact for customer inquiries from our Investment Advisers, 3rd Party sponsors, and other internal Guardian teams

• Assist with peer-to-peer coaching and education as it relates to routine, specialty or complex product features or processing systems.

• Communicate with stakeholders across various platforms (such as phone/email) to respond to and resolve outstanding items.

• Collaborate with various internal departments including: Compliance, Licensing, Operations, Internal clearing firm, and 3rd Party Sponsors/Envestnet.

• Cross train with various Operations teams including our Trading and Asset Movements teams

• Complete operational tasks related to New Accounts and Maintenance items for the Pershing, Envestnet, and Albridge Wealth Reporting platforms.

• Performs root cause analysis for escalations related to audit and operational processes.

• Manages the implementation and on-boarding of new Self-directed Brokerage clients.

• Directs the creation and testing of tracking tools to ensure that pertinent stats recorded and reported show the overall performance of the operations functions.

• Managed the on-boarding and training of new associates.

• Implemented the review and revision of all standard operating procedures for new operational and business processes to reduce errors and increase productivity.

• Trained new and tenured associates on new departmental processes to increase overall team efficiency.

• Managed and prepared detailed monthly financial reports for the brokerage division of Point Solutions.

• Managed and audited all incoming client correspondence for completeness and accuracy.

• Processed the receipt and disbursement of all customer funds.

• Researched the processing of all incoming and outgoing ACAT and Non-ACAT transfers.

• Provided ongoing quality customer service to global Investment Specialists.

• Onboarding and training of new hires to fulfill business requirements.
• Analyzed data trends to identify potential bottlenecks in operations workflow, implementing strategies to mitigate risks accordingly.

• Processed 401(k) and RMD withdrawals.

• De-escalated and resolved customer complaints.

• Educated participants on various retirement plans and services.

• Resolved customer complaints with empathy and resolved escalated issues.
• Managed high-stress situations effectively, maintaining professionalism under pressure while resolving disputes or conflicts.
• Provided coaching and mentoring to new hires, contributing to their successful integration into the team.
• Investigated and resolved customer inquiries and complaints quickly.

• Educated participants on Retirement Products and Services.

• Maintained the statistics of account details and reported all statement results.

• Maintained knowledge of all policies and procedures regarding Human Resources.

• Answer inbound calls from Advisor's with a variety of commission questions and performing research and detailed analysis
• Act as 'owner' of all issues, managing others as needed to achieve a timely and comprehensive solution
• Call sponsors in an effort to locate pending commissions and trail commissions
• Perform processing of operational transactions as necessary (zero batches, general adjustments, advances)
• Generate detailed commission reports as needed for advisors
• Perform research and detailed analysis on missing commissions for advisors.

• Providing coaching and feedback for continuous improvement including one-on-one with crew, trend identification and analysis, and management feedback to encourage a learning environment
• Lead the centralization of the Retail Investor Group Divisional contact quality program through the collection, analysis, and communication of contact quality program results and initiatives.
• Championed quality assurance efforts, conducting rigorous testing processes to ensure adherence to standards.
• Participated in quality assurance activities, ensuring compliance with established standards and regulations.

• Launched a team of phone representatives and operations into one allowing team to transition between 30 to 50 calls and processing based upon business needs.

• Applied solid research and auditing skills toward reconciling account discrepancies and duplications.

• Maintained detailed knowledge of compliance, plan eligibility, and tax policies and procedures.

• Lead morning huddles regarding new or changing workflows.