LPL Financial - Dedicated Service 360 Representative Resume Example

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Claire Diaz

XXX X XXXXXXXX XXXX XXX, Charlotte, NC 28262

Ph: XXXXX XXXXXXXX

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Summary

Accomplished, well-rounded college professional. Trainable, enthusiastic and energetic contributor. Strengths in leadership, problem solving and cross-cultural communications strengths. Computer and Internet savvy.Organized, efficient, and through; maintain flexibly in changing work assignments. Perform well under stress, taking pressure off superiors and peers. Proficient in the planning and execution of projects in time-critical environments. Dependable and successful problem-resolution and time-management solutions. Creative and cooperative, working equally well individually or as part of a team. Outstanding record of performance, reliability, confidentiality, and ethical business standards.

Skills

Microsoft Word, Microsoft Excel, Microsoft Power Point, Microsoft Access, & Internet Capabilities

Experience

Dedicated Service 360 Representative Oct 2012－Present LPL Financial

Responsible for developing and forming relationships with bank program managers, efficiency consultants, and various departments, while servicing the needs of LPL's institutional services financial advisors.
Research complex situations, set advisors and program manager's expectations, and define the actions necessary to resolve the situation.
Communicate operational and financial industry policies and procedures.
Complete operational tasks including data input.
Actively participate in advisor service training and other training to remain current with operational policies and procedures.
Facilitate peer learning training.
Lead new advisor orientation.
Create and maintain Branch Trade and Letter of Indemnification reports for advisors.

HPS/ Loan Doc Specialist Nov 2011－Oct 2012 Wells Fargo Bank

Manages a portfolio of small business real estate secured loans and lines.
Assisting in providing credit products to both owner occupants and investors for purchase, refinance, and business working capital needs.
Responsible for performing a variety of loan documentation duties.
Functions include: reviewing and imaging business/personal tax returns and other financial documentation to verify completeness; obtaining missing information by working closely with bankers and customers while meeting service level agreements; determining basic brief customer and property qualifications.
Review loan file to verify procedures per guidelines.
Manage pipeline of loans within required performance standards for welcome, approval and status calls providing excellent customer service for members.
Exceed member expectations by engaging the member throughout the process to describe loan progression, set expectations, and explain terminology.
Guarantee on-time closing by completing all required pre-closing steps; preparing file for closer within required performance standards.
Obtain and review customer documents, and clear conditions commensurate with authority level.
Ensure integrity of all data and process inputs.
Order necessary documents and follow-up with vendors/third parties to obtain in timely manner.
Submit loans to underwriting for conditional review and full approval upon receipt of appraisal.
Maintain monthly performance measurements: Timeliness, production goals, suspense, compliance/regulatory, and customer satisfaction.
Partner with sales and underwriters on difficult and/or exception transactions.

Securities Ops Service Specialist Feb 2009－Jul 2011 Well Fargo － Charlotte, NC

401k Distribution Consulting Team.
Assist DCS managers, supervisors and team lead by providing research and production support.
Processing IRA Force-Outs and account reconciliation and quality control of debit and credit tickets.
Work with internal departments and/or directly with clients in solving service/operational issues.
Monitor and track referrals and sales results.
Data entry into sales related application and internal systems to facilitate internal processes.
Utilize technology to record and track client information Processing environment consisting of outgoing transfers.
Worked extensively with administrators providing that the application is in good order.
Received Trust Account application and transferred assets by creating a new account at the fund to transfer shares in the newly developed account per client's request.
Production-oriented, fast paced environment, and deadline activities.
Performed a variety of tasks as in training fellow employees on the daily Trust account duties.
Lead and directed the work of others.
Skills: mutual funds, securities, DTC, Brokerage Ops, and transfers.
Wachovia Securities (contingent worker.

Annuity Operations Specialist Nov 2007－Feb 2009 AG Edwards/Wachovia Merger － Charlotte, NC

Analyze incoming documentation from the broker to perform a series of checks and balances to ensure annuity application is in "good order".
When paperwork is deemed to be "not in good order" work with the broker to research and define issues, manage deliberation process, provide direction in the resolution of customer based issues.
Work with the commission's team to ensure funds are sent to the insurance carrier.
Responsibilities are linking annuities to brokerage accounts when a client requests to see their annuity on their monthly statement.
Facilitate the purchase of annuities.
Performs a series of checks to ensure that policies are followed, that the sale is compliant and the paperwork is in good order.
Ensure Service level agreements are met to confirm clients funds are invested in a timely manner.
Primary responsibilities includes; but not limited to receipt of remittance reports for payment posting, researching loan status and delinquency reports, submitting payment reversals, payoff fees and late fees.
Business and working knowledge of the Wachovia networking platforms (Report Gen, CATS, Cash Admin, Filenet, Portfolio Registration, Disbursement requests, DOTS, GL tickets Mainframe (the tracking of incoming wires through the DDA and TOPS).
Communication required across organizational chart and Sub servicers.
Administrate deal meetings.
Create documents and produce Fund Transfer instructions for various deals.
Research and investigate incoming wires.
Maintain system updates via Strategy and Securities Watch list.