Summary
Overview
Work History
Education
Skills
Skills
Certification
Accomplishments
Affiliations
References
Timeline
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Sterling K. Smith

North Richland Hills,USA

Summary

Results-oriented specialist with a proven track record in planning and problem-solving. Extensive experience in delivering high-quality work with meticulous attention to detail. A strong work ethic and leadership capabilities drive consistent achievement of objectives and project goals.

Overview

8
8
years of professional experience
1
1
Certification

Work History

Senior Specialist, Client Services & Support Operational Support Account Solutions

Charles Schwab & Co.
Westlake, TX
10.2024 - Current
  • Served as primary contact for retail clients and internal partners regarding account inquiries.
  • Processed new account applications and maintenance requests efficiently.
  • Reviewed and updated client accounts in compliance with FINRA Rule 3210.
  • Delivered real-time coaching on policies and regulatory compliance to business partners.
  • Collaborated with internal teams to enhance client service and meet expectations.
  • Developed strategic plans for new projects and initiatives to drive productivity.
  • Identified process improvement opportunities through detailed procedure reviews.
  • Analyzed complex issues to formulate effective solutions promptly.

Senior Specialist, Resource Desk

TD Ameritrade
Westlake, TX
09.2020 - 05.2024
  • Acted as high-level liaison for Investor Services, managing inbound calls, chats, and cases.
  • Created tailored correspondence for retail clients, ensuring clarity and professionalism.
  • Resolved critical, time-sensitive inquiries requiring extensive industry knowledge.
  • Took ownership of escalated client requests, providing solutions while mitigating risks.
  • Delivered real-time coaching to business partners on policies, procedures, and regulations.
  • Applied critical thinking and analysis to determine necessary exceptional actions.
  • Developed and managed projects to adapt to evolving business needs.
  • Reviewed risk associated with client activities and addressed issues with associates.
  • Collaborated with cross-functional teams to streamline processes and enhance workflows.
  • Conducted root cause analysis to identify recurring client issues, and implement improved policies and procedures.
  • Maintained updated knowledge through continuing education and advanced training.

Investor Services Representative

TD Ameritrade
Westlake, TX
10.2017 - 10.2018
  • Served as initial contact for self-directed brokerage clients, delivering customized service.
  • Identified effective solutions aligned with individual client needs and circumstances.
  • Resolved issues promptly to promote high customer satisfaction through knowledgeable support.
  • Educated clients on TD Ameritrade platform, investment products, and industry regulations.
  • Collaborated with internal teams to streamline operations and enhance efficiency.
  • Provided assistance on complex transactions including transfers, distributions, and reinvestments.
  • Contributed innovative ideas to improve team performance and outcomes.
  • Participated in training sessions to expand knowledge of investments and securities industry.

Education

Bachelor of Arts - Economics

University of North Texas
Denton, TX
05-2017

Skills

  • Effective communication skills
  • Attention to detail and accuracy
  • Regulatory compliance knowledge
  • Risk assessment and management
  • Creative problem solving
  • Process improvement strategies
  • Coaching and development
  • Microsoft Office proficiency
  • Windows operating systems expertise
  • Documentation management

Skills

Excellent written and verbal communication skills, Creative problem-solving skills, Providing real-time coaching and development, Series 7, 63, and 24-licensed, Microsoft Office (Word, Excel, OneNote, PowerPoint, Loop, Teams), Average Typing Speed: 100 WPM, Microsoft Windows (Vista, Windows 7/8/10/11), Experience with multi-line phone systems

Certification

  • Series 7, 63, and 24

Accomplishments

  • Attitude of Gratitude Winner for February 2024
  • Excellence in Service Q4 2021
  • Excellence in Teamwork Q3 2018

Affiliations

  • Lean Problem Solving Group- November 2018 to May 2024
  • CS&S Account Solutions Brand Ambassador- October 2024 to present

References

References available upon request.

Timeline

Senior Specialist, Client Services & Support Operational Support Account Solutions

Charles Schwab & Co.
10.2024 - Current

Senior Specialist, Resource Desk

TD Ameritrade
09.2020 - 05.2024

Investor Services Representative

TD Ameritrade
10.2017 - 10.2018

Bachelor of Arts - Economics

University of North Texas

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