Las Vegas, Nevada, United States
I am a seasoned operations management associate with 15+ years of corporate leadership and administrative experience in the financial sector. Recognized for client service excellence, as well as for creating administrative solutions and optimizing internal and external communications, I have a history of contributing directly to company growth throughout my career. Professional focal points include interdepartmental communication, invoice documentation, database maintenance, event facilitation, administrative support, website and web portal maintenance, call scheduling, account management, financial disbursements and transfers, technology solutions, handling secure client materials, and relationship management. Delivering superior administration on the latter areas of expertise requires utilization of effective communication skills, negotiation skills, as well as professional development acumen, sales solutions, project management and resource management to support efficiency and maximum returns. Currently, I am Due Diligence Associate with Carter Funds. In this role, I review documents, enter transactions into multiple proprietary and non-proprietary systems, verify information accuracy, and resolve due diligence issues. I also prepare due diligence questionnaires, reconcile and track billing invoices, and manage and maitain multiple databases. In addition, I liaise with third party sponsors, transfer agents, and interal teams to ensure the company’s due diligence support structure is driving the business forward with minimal expenditures. Colleagues describe me as a progressive, driven, down-to-earth, financial and logistical expert who can be relied on to offer superior solutions that deliver profitable results on time and under budget. I am pursuing new opportunities and can be reached through this profile. Securities and advisory services offered through LPL Financial, a registered investment advisor. Member FINRA/SIPC. For hyperlinks to FINRA and SIPC, please refer to ‘See Contact Info’ section above. Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.
* Notarizing documents for the state of Nevada
*Maintain multiple internal DDQ databases, including N: drive, SharePoint and OneNote *Create and maintain a unified and cohesive DDQ document library for sponsor and by Fund file by document type, financial statements (audited and unaudited), marketing collateral including corresponding clean letters, frequently requested items such as business continuity and succession plan, insurance policies, etc. *Assist in the coordination across internal business units / departments in gathering information and documents requested *Maintain DDQ tracking calendar / spreadsheet to ensure prompt responses and document execution and delivery *Disseminate offering documents, marketing collateral, supplements and updates across respective internal shared drives, portals, transfer agents, fulfillment providers, etc. *Maintain, archive and upload Fund documents to various Virtual Data Room (VDR) and offering document data base portals *Manage transfer agent showroom content - ensuring portal is maintained with up-to-date documents and collateral and includes corresponding FINRA clean letters when applicable *Disseminate offering documents, marketing collateral, supplements and updates across respective internal shared drives, portals, transfer agents and fulfillment providers
-Serve as the first point of contact for clients and visitors in the office and by phone -Liaise with colleagues to help solve our client’s wealth-related needs -Process new account documentation, client requests, and team-related needs
• CRM (calendar) management and scheduling & confirming of client appointments • Communicated with advisors and internal departments to ensure we meet our clients expectations for timely service delivery for completion of projects and reports • Recommended alternative solutions based on data collection to resolve optional issues and efficiencies • Provide daily and monthly excel reports for advisors on client accounts • Managed and reviewed daily reports for account activities that are operational in nature cash management, RMDs, periodic distributions, debits, pending settlements, etc. • Reviewed and provided suggestions for the advisor in the preparation of upcoming client meetings (i.e., paperwork, requirements, etc.) • Educated advisors and clients on the use of technology to company set goals • Help drive increased adoption revenue and net new household assets for advisors • Reduced LPL operating cost through increased usage E-Signature, E delivery, account view adoption and reduced NIGOs • Communicated with internal departments to ensure we meet our client’s expectations for timely service delivery • Ability to handle multiple projects and deadlines • Outstanding interpersonal skills with the ability to build and foster relationships • Ability to analyze and research information • Reviewed and processed advisor expense reports and financial transactions • Completed daily/weekly/monthly task and assignments assigned with accuracy for business growth and department development • Processed, new account openings, account transfer, wires, check request, distributions, and contributions • Notarized Client Signatures & Documents