Teresa Sepetjian

• Main point of contact for 80-90 clients ensuring plans stay in compliance with regulatory requirements and internal policies.
• Consult with clients regarding plan provisions, document and operational requirements.
• Explain testing requirements and make recommendations to help pa
• Conducted regular audits of pension records, identifying errors and implementing corrective actions.
• Reviewed and updated plan documentation to reflect changes in legislation and company policies.
• Explain testing requirements and make recommendations to help pass compliance testing.
• Software utilized: FT Williams/PensionPro/ASC/Dynamis/StaxAI

Perform review of employees communications to ensure compliant with the Financial Industry Regulatory Authority rules and regulations (FINRA).

Utilize surveillance system application to review e-mail for Non-Retail business.

Evaluate and escalate potential regulatory /compliance issues to business unit.

Create monthly reports to ensure the required required percentage of messages is successfully reviewed.

Primary BETA tester for new surveillance system application.

Respond to a wide range of Customer inquiries related to the use of the firms On-line stock purchasing service, BUYandHOLD.

Manage and distribute all electronic communications generated from website and direct e-mails to ensure the timely and accurate response to interested parties.

Support the collections of fees owed to the firm with 98% success.

Respond to any and all phone inquiries ranging from trade inquiries, corporate actions, and the management of account privileges.

Provide project management support within the Retirement Services Division.

Liaise between Retirement Services Operations and Retirement Services Technology Group on

• Administered retirement plans, ensuring compliance with regulations and internal policies.
• Assisted in processing participant transactions, enhancing operational efficiency and accuracy.
• Collaborated with cross-functional teams to streamline plan administration procedures.
• Supported plan participants by providing timely information and resolving inquiries effectively.

• Oversaw the successful conversion of multiple Mid-Market plans onto the Dyatron/Sungard record keeping system.
• Map data from prior recordkeeping system to the Merrill Lynch recordkeeping system using Excel and Conversion Program.