Director of Client Monitoring Resume Hunt Valley, MD - Hire IT People

TECHNICAL SKILLS

Conversant wif Mass Affluent to Affluent Clients (i.e - face to face meetings, skype, gotomeeting, phone calls, email communication)
Experienced wif Mutual Funds, Stocks, ETF’s, Index Funds, Bonds, REITs, Fixed and Variable Annuities and many types of Insurance
Practiced in teh act of prospecting for new clients (i.e - set up seminars, support for seminars, follow up on response sheets from prospects, cold calling)
10 years of experience using Morningstar and NetX360 platforms
Very capable in teh use of multiple CRM’s including SQL based databases, Salesforce, Advisors Assistant and SmartOffice Pro
Trained and highly competent in teh use of Albridge Wealth Reporting and eMoney Advisor
Experienced in using Leonard, Moneytree and Riskalyze financial planning software
Proficient in Microsoft Office suite

PROFESSIONAL EXPERIENCE

Confidential, Hunt Valley, MD

Director of Client Monitoring

Responsibilities:

In control of maintaining and m onitoring teh information/accounts of more than 1200 clients and approximately $500 million assets under management
Responsible for teh preparation of all materials pertaining to Mass Affluent to Affluent Client Annual Review
All client reporting was initiated and run through my department.
Approximately 290 reports per quarter in 45 days when I took over as Director in 2007. o Currently running and distributing 804 reports per quarter (177% increase) in approximately 30 days (33% decrease) wif teh same number of employees
Speak daily to Mass Affluent Client base
Satisfy client needs & wants o Market conditions
Outside Investment updates (i.e. Life Insurance, Homeowner’s, Auto Insurance, LTC, Estate Documents)
Team lead on a Green initiative in teh office saving paper and greatly reducing storage necessary by scanning 25 years of financial documents while maintaining FINRA document retention standards
Team lead on a complete Office Platform conversion from in house CRM/SQL Reporting Software to fully integrated CRM (SmartOffice Pro) and Planning/Reporting platform (eMoney Advisor)
Fully automated teh reporting process by establishing a personal client website access and detailed client onboarding questionnaire
More efficient use of assets saving time, overhead and improving quality control in teh office o Conversion is projected to save about 50% in time (30 days to 15 days) for quarterly reporting to client base thus reducing overhead considerably

Confidential, Hunt Valley, MD

Junior Financial Planner

Responsibilities:

Responsible for developing complex financial plans through analysis of documents collected during client prospecting phase
Cash Flow plans o Capital Needs Analysis plans
Fixed and Variable Annuity, Life Insurance and LTC needs analysis o Social Security needs analysis o Pension and Deferred Compensation studies
Calculated RMD’s as needed for Qualified portfolios
Performed Alpha & Beta studies to compare portfolio risk and hypothetical return
Asset Allocation recommendations for assets under management as well as outside held investments including 401k, 403b, IRA and NQ money

Confidential, Hunt Valley, MD

Client Administration - Intern

Responsibilities:

Responsible for opening accounts to be invested by registered representatives by reviewing forms for proper completion and submitting to interested party
Tasked wif transaction follow-up to ensure teh correct trades were placed
Experienced in document storage (physically and electronically)
Spent hundreds of hours inputting data into our in house CRM as well as teh office reporting system