Vanessa Sandoval
Miami,FL
Summary
Experienced Financial Paraplanner Qualified Professional ™ with a demonstrated history of working in the financial planning service industry for multiple Wealth Managers for the last 24 years. I am a dedicated responsible individual with strong work ethic, great communication, organizational skills, and attention to detail. My key objective has always been to assist clients with all their administrative needs.
Overview
24
24
years of professional experience
Work History
Relationship Manager, FPQP™
Congress Wealth Management
05.2021 - Current
- Many of the same previously listed responsibilities with Pinnacle Advisory Group.
- Built and maintained relationships with new and existing clients as well as multiple advisors throughout previous company acquisitions while providing high level of customer service.
- Processing all client administrative needs such as opening accounts, rollovers, processing inbound, outbound EFT, Third-Party Requests, International/ Domestic Wires, updating all onboarding, terminated, death clients throughout multiple software's, Keeping up to date with various workflows/ processes, compliance, technology, custodian updates. Updating new business/ loss spreadsheets for client inflows/outflows.
- Meeting team project deadlines efficiently. Coordinated with management to resolve issues and improve client service.
- Preparation of onboarding client bundles, which have company Investment Management Agreements (IMA), Investment Policy Statement (IPS), as well as company disclosure forms. May include Third-Party Money Manager IMA for different investment strategy offered outside or our normal trading platform.
- Annual RMD processing for multiple advisors, notifying clients of any remaining RMD's, QCD's.
- Quarterly realized gains and loss reports sent to CPA's for higher AUM clients for their estimated tax projections/payments.
- Processed cases from team structured CRM case queue from multiple advisors. Contacted clients per cases for resolutions, and follow-up's.
- Encouraging and educating clients on available technology tools, like company client portal, custodian's online solutions.
- Responsible for training and managing new hires virtually.
- Operated in self-directed environment with minimal input to solve problems and implement solutions.
Client Relationship Specialist, FPQP™
Pinnacle Advisory Group
07.2015 - 05.2021
- Prioritizing daily work, tracking progress of projects, deadlines, responding to phone calls, related messages to multiple assigned Wealth Managers via Salesforce/e-mail (CRM) , scheduling appointments when needed.
- Processing all client requests, new account onboarding/transfer paperwork/ distributions, setting up client accounts in Orion for reporting/billing, beneficiary death distributions, monitoring margin accounts, completing all cashiering requests, processing of RMD’s, rollovers, etc.
- Maintaining spreadsheets to assist with clients financial plan, running Orion reports for different requests involving client meetings for holdings, performance, benchmark comparisons, realized gains/losses.
- Promptly and effectively addressing problems and finding solutions for multiple Wealth Managers and clients as well as office related issues.
- Responding to daily Custodian alerts and keeping up with any beneficial custodian changes.
- Tracking/maintaining new/loss business spreadsheets and Salesforce dashboard to show inflows/outflows.
- Confirmed new, deceased, and terminated client processes/workflows were completed efficiently throughout multiple software's.
- Tracking of new clients that came from custodian referral program from Schwab and Fidelity.
- Maintained Orion Billing audits, fee summary spreadsheet, reconciliations for Naples Wealth Manager.
- Worked with Orion Client Portal, Client Vault/Citrix Sharefile, DocuSign troubleshooting as well as walking clients through their custodian’s online access.
- Regularly discussing goals with my manager to improve and implement new processes, Orion reporting issues, Salesforce workflows, supporting opportunities for performance and personal growth for employees.
- Attended seminars and continuing education for professional development, leadership growth and personal lifelong learning.
- Preparation of Investment Management Agreements (IMA) and Investment Policy Statements (IPS).
- Updating all client model changes/updates, confirming all fee schedules and billing via Orion.
- Communicating changes to trading team as well as any cash set asides, billing shortages, systematic distribution changes or cash requests.
- Always demonstrate strong work ethic and initiative to increase knowledge of rules, regulations and concepts as well as maintaining continual improvement in procedure changes and client experience
- Communicating with my Wealth Managers to make sure that we have a solid understanding when it comes to complex client situations.
- Discussing recommendations in a proactive manner to achieve each client’s goal efficiently, especially with multiple moving parts.
Registered Paraplanner™
The Enrichment Group
01.1999 - 07.2015
- Processed conversion for all clients from Schwab and Pershing to TD Ameritrade due to company merger.
- Prioritizing daily work, answering phone calls, relating messages to Financial Planners via Goldmine (CRM).
- Processing all client requests involving account paperwork, beneficiary death distributions, all cashiering requests, RMD’s, QDRO’s, 529’s, DAF’s, 1035’s, outside 401(k)paperwork for distributions and rollovers, etc.
- Creating and maintaining client records, CRM, maintaining spreadsheets to assist with client servicing, projects, and deadlines
- Responding to daily alerts with Custodians and keeping up with Custodian and broker dealer changes
- Promptly and effectively addressing problems and finding solutions for advisors, clients, and staff
- Cultivating and maintaining long-lasting client relationships by good communication, being empathic, and understanding clients needs
- Assisted Planner’s in research and portfolio reallocations recommended by Planner’s
- Making sure that all client Sharefile uploads were saved into Worldox and responding to clients
- Depositing checks via our Broker Dealer/Westminster Financial Securities for Pershing, LLC
- Executed Mutual Fund and Equity trading for Pershing and Schwab
- Daily integrated download reconciliation corrections via Portfolio Center
- Initially worked with DBCAMS, eventually transitioned to Portfolio Center for billing and reporting
- Provided CPA’s with annual tax package which included realized gains/loss, expense report along with clients 1099’s.
Education
Financial Planning Qualified Professional™ - Financial Planning
College For Financial Planning, Inc.
Englewood, CO01.2001
High School Diploma -
Christopher Columbus Highschool
Bronx, New York06.1995
Skills
- Time Management
- Team Leadership
- Verbal and Written Communication
- Solution Development
- Deadline Management
- Spreadsheet Tracking
- Customer Relationship Management
- Attention to Detail
- Service Assistance
- Operational Efficiency
- Effective Customer Communication
Languages
English
Timeline
Relationship Manager, FPQP™
Congress Wealth Management
05.2021 - Current
Client Relationship Specialist, FPQP™
Pinnacle Advisory Group
07.2015 - 05.2021
Registered Paraplanner™
The Enrichment Group
01.1999 - 07.2015
Financial Planning Qualified Professional™ - Financial Planning
College For Financial Planning, Inc.
High School Diploma -
Christopher Columbus Highschool
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