SUMMARY:

• Experienced Administrative Assistant/Client Support Specialist with over 20 years of experience.
• Advance skills with providing administrative assistant support to senior management, onboarding new clients and continued support provided to existing clients.
• Expert in several computer applications, excellent organizational skills, capable of handling multiple responsibilities, able to work in fast - paced environments and handling of confidential materials.

COMPUTER SKILLS

• Microsoft Windows XP,
• Lotus Notes,
• Microsoft Outlook,
• Microsoft Word,
• Microsoft Excel,
• Microsoft Power Point,
• Microsoft Access,
• Adobe Photoshop,
• Adobe PDF,
• GMI/AS400,
• LexisNexis,
• Experian,
• SharePoint,
• JIRA,
• EGUS,
• PEGA, 
• SAP Ariba.

EMPLOYMENT HISTORY:

Confidential, CHICAGO, IL

ADMINISTRATIVE ASSISTANT II

• Assist with scanning documents/agent contracts, saving them to the shared drive and uploading them into Ariba.
• Supporting administrative office functions for the Manager along with their immediate staff through clerical support, filing, and other related activities.

Confidential, CHICAGO, IL

ADMINISTRATIVE ASSISTANT - SPECIAL PROJECTS (CONTRACT)

• Assist Executive Director with drafting legal documents, coordinating special projects, travel arrangements, and researching venue locations for special events. Prepare business proposals for current and future potential sponsors. Manage several accounting functions:  expense tracking, vendor invoice processing, budget reports, reimbursement submissions, ordering office supplies. Maintain and monitor multiple schedules for numerous meetings. Track, monitor and provide reports for attendee registration at special events. Schedule meetings, prepare agendas and organize data into spreadsheets. Assist with offsite projects as needed

Confidential, CHICAGO, IL

SENIOR ON-BOARDING SPECIALIST

• Responsible for new account documentation on-boarding process that includes daily interaction with sales staff, Compliance, Credit Department, Introducing Brokers, and clients.
• Responsible for sending out new account documents to clients for opening futures, securities, foreign exchange, fixed income and execution accounts.
• Analyze adequacy of account documentation received from prospective clients and obtaining risk, legal and AML approval for new account documentation.
• Ensured client has proper FINRA/WEB CRD, EMIR, registrations and or ID numbers. Check client tax ID numbers in TINCheck system and input information properly into databases.
• Responsible for the management of the sales portal documentation request, document management database, and PEGA database. Updated weekly pipeline spreadsheets, weekly meetings with credit and heads of business line to discuss on-boarding new clients.
• Perform light KYC review on potential clients and review tax documentation. Ensure that communication with clients on issues is properly controlled and handled efficiently and effectively.
• Liaison with Credit/Risk and AML department regarding approvals for new and existing accounts.
• Develop specialized agreements in coordination with Legal Department and Business Managers and send to customers that include customer agreements or commission rate schedules.
• Drafting and approving give-up agreements in EGUS (Electronic Give-up System). Creating rate schedules, notifying and following up with the executing or clearing broker to obtain their approval.
• Create and maintain written procedures for opening new account documentation. Gather and share information of changes in regulations which affect account opening and documentation issues.
• Draft appropriate Electronic Order Routing System agreements. Working with eSolutions and Risk to set up clients on various electronic trading systems.
• Coordinated special projects for the department: internal and external audits, document storage retention, assisting IT and Business Logistics with department moves, and assist with client tax projects.
• Enter and edit client information into SharePoint and created client ID numbers in the Newedge Client Referential Database.

Confidential, CHICAGO, IL

TRANSFER OF ACCOUNTS REPRESENTATIVE

• Reviewed transfer documents for incoming and outgoing accounts, called brokers regarding any missing documentation or account transfer rejections, and prepared transfer forms to be mailed out to various companies.
• Maintained incoming transfers spreadsheet and distribute weekly to senior management.
• Daily communication with brokers regarding account status, called banks, mutual fund companies and brokerage firms to follow-up on transfer status.
• Input check deposits, liquidated outgoing accounts, requested checks and securities for outgoing accounts, and looked up account information on Beta System.
• Verified mutual fund account transfers with various fund companies, set up B50/B52 for mutual funds, received mutual fund shares into customers’ accounts, and delivered mutual funds shares out of customers’ accounts.

Confidential, CHICAGO, IL

NEW ACCOUNTS REPRESENTATIVE

• Reviewed and approved new trading accounts, entered new customer account information and added commissions in GMI system. Daily communication with the Compliance Department on various legal and compliance issues related to opening new accounts.
• Communicated to introducing brokers any additional documentation that was required to open new accounts.
• Created “Weekly “New Accounts Opened” report in Microsoft Excel. Also, responsible for weekly report updates and distribution to senior management.
• Liaison for department between MIS department for various computer problems or needs.

Confidential, CHICAGO, IL

ADMINISTRATIVE ASSISTANT

• Assisted General Counsel and Compliance Officer with legal documents and various projects.
• Coordinated debit collection matters and repayment agreements, reviewed IRA account opening documentation, prepared correspondents to be sent to trustee for new IRA accounts, typed agreements, contracts, proposals, and created spreadsheets.
• Maintained legal dockets, department manual updates, department files and various exchange rule books’ updates. Coordinated bill payments with accounting department, and made travel arrangements.
• Liaison for department between MIS department for various computer problems or needs.
• Opened new IRA accounts, input broker commissions, changed addresses, and looked up customer account information on GMI System.
• Developed a database used to update and manage current and new Introducing Brokers’ information.