Andrew Nicely Email & Phone Number

Dallas, Tx, Us

Columbus, Ohio Metropolitan Area

Columbus, Ohio Metropolitan Area

Columbus, Ohio

- Reviewed and supported client-facing account documents and provided guidance on correct policy and procedure to protect the firm and branch during an audit - Analyzed new accounts to ensure client profile information was consistent with policy - Reviewed account modifications, including adding options trading ability, adding or removing margin, updating personal client information, and name changes- Provided ad hoc training to field facing associates on policy and procedure updates- Worked with management team to clarify and simplify policy when possible and review updated regulatory procedures- Advised technology team on what processes and systems needed improvement and provided exact details of where the pain points were- Escalated supervisory issues to necessary manager in the field; providing relevant recommendations as to appropriate actions to be taken- Partnered with supervisory managers in the field to help them resolve exceptions in a timely manner

Southlake, Texas

- Took operational responsibility from financial advisors to free them to do what they do best, gather assets- Facilitated new account opening with clients, making transition as seamless as possible- Collaborated with direct manager, risk officer, branch manager, and local training to determine accurate policy and procedure- Monitored team activities to ensure compliance with firm policies- Communicated regularly with clients via email, telephone, and in person regarding their accounts and upcoming events- Managed client quarterly review notification and scheduling- Incepted and terminated management accounts- Rebalanced accounts that were part of a management program- Updated team website with advisor produced documents, team information, firm produced documents- Ensured that team branding is cohesive across digital and print platforms- Placed client requested stock trades- Assisted clients with online access- Discussed other firm capabilities beyond investments, such as asset aggregation and banking capabilities

Columbus, Ohio Area

- Reviewed & Approved disbursement requests to ensure completion in a timely manner- Handled a high volume of requests in a fast paced environment- Provided world class customer service in all interactions- Applied Firm verification policies for all clients to avoid identity theft and fraudulent activity- Contacted branch employees on a daily basis to assist them in entering requests correctly and ensuring clients receive their funds in a timely manner- Worked with management to determine which requests are in need of exception review at a local branch level- Kept current on SEC/FINRA, Compliance and Firm policy and procedural guidelines and apply to review processing and all interactions to ensure risk mitigation

Columbus, Ohio Area

- Subject Matter Expert on financial advisor policies and procedures- Mentored new hires and team members on delivering world class service- Team Leader in leveraging available resources to achieve superior performance- Created training manuals and facilitate the education of employees on the operations of Morgan Stanley- Utilized strong interpersonal and customer service skills- Employed problem solving, personal accountability, and professionalism- Assisted staff with householding, account linking, journals, wire transfers, ACH, gain/loss, account swings, branch workflow, 3D, WebNAS, CPS, BOSS, 3DR, and other inquiries

Columbus, Ohio Area

Colton, California

Riverside, Ca

Colton, Ca

Master Of Science, Finance, General, 3.67

Bachelors, Business Administration With A Concentration In Management

Activities and Societies: Junior Class President - Student Government