Fee Based Senior Associate (Promoted From Retirement Plan Service Associate In March 2023)
• Lead the processing of complex financial transactions by evaluating and approving client accountretirement transactions.• Diagnosed issues and provide solutions in accordance with IRS regulatory requirements.• Conducted account audits to ensure transactions meet regulatory compliance laws.• Executed client requests for corrections and provide guidance to branch personnel on resolution.• Analyzed research results and conduct complex data analysis.• Partnered with leaders on process improvement initiatives.• Provided one-on-one training sessions for new associates, fostering their development and integration intothe team.Key Achievements:• Successfully transitioned from Retirement Plan Service Associate to Fee Based Senior Associate-AMSTrading, demonstrating strong leadership and performance.• Conducted thorough audits of account activity, ensuring compliance with regulatory standards.• Successfully improved process efficiency by providing regular feedback to leadership, driving positivechanges.• Developed and delivered training programs for new associates, enhancing team capabilities andensuring smooth on-boarding.• Recognized for maintaining a positive and motivating work environment.Handle incoming calls and direct callers to appropriate department.
