Bethann Nelson Email & Phone Number

Denver Metropolitan Area

United States

Phoenix Area, Arizona

Assist participants with accounts within their employer's 401(k) plans.Educate participants on IRS and DOL regulations and requirements. Process exchanges, allocation changes, loans and terminations as requested.Position additional features and products to meet department and company sales goals.

Maintained a working knowledge of changes in the financial services industry, Vanguardservices and funds, markets, and other factors that affect retirement plans and theirparticipants. Provided support to all other case segments as needed for contingency purposes.Assumed ownership of the client relationship by identifying participant and plan-leveldiscrepancies; explored and proposed viable solutions, and elevated problems as necessary. Assisted with contingency needs as called upon by proctoring and taking participantcalls.Adhered to and abided by the rules and regulations governed by the FINRA, IRS and DOL inorder to meet compliance requirements. Addressed all clients with confidence, respect, diplomacy, and tact in a professional andwelcoming manner. Ensured that verbal communication with all clients is clear, free of Vanguard andindustry jargon, and at an appropriate level for the client. Produced written communications that were accurate, concise, well organized, and free ofspelling and grammatical errors. Thoroughly and accurately processed adjustments and plan updates.

Assist participants with accounts within their employer's 401(k) plans.Educate participants on IRS and DOL regulations and requirements. Process exchanges, allocation changes, loans and terminations as requested.Responsible for tracking and recording daily market prices of non-proprietary funds.Integral part of Plan Information Database Redesign Team. Track exceptions and overtime of associates for reporting purposes.

Administered 401(k) Plans.Resolved and insured accuracy of all operations and processing for sixty-two plans withassets exceeding $40 million.Handled up to 40 inquiries daily regarding all plan and participant record-keepingevents, including plan level regulatory discrimination testing and reporting issues.Completion of 5500 and annual reports.

Administered 401(k) Plans.Resolved and insured accuracy of all operations and processing for fifty-five plans withassets exceeding $40 million.Handled up to 40 inquiries daily regarding all plan and participant record-keepingevents, including plan level regulatory discrimination testing and reporting issues.Updated all relevant plan information i.e. plan profile, adoption agreement andparticipant enrollment literature.Managed marketing orders and coordination of enrollment meetings.Coordinated conversions of plans in and out of Scudder Trust Company by working withother record keeping firms to insure accuracy and promptness of transition.Established automated work flow as a key member of Automated Work Distributor projectteam.

Resolved and insured accuracy of all operations and processing for forty plans withassets exceeding $40 million.Handled up to 40 inquiries daily regarding all plan and participant record-keepingevents, including plan level regulatory discrimination testing and reporting issues.Updated all relevant plan information i.e. plan profile, adoption agreement andparticipant enrollment literature.Managed marketing orders and coordination of enrollment meetings.Trained new associates in retirement division.Maintained and improved Reference Program to bring new business to company.Tested new software for AWD ( Automated Work Distributor).Produced IRS form 5500 for over forty 401(k) plans.Responsible for recognizing associates for quality service.Key participant in successful closure of Retirement Services Group.Obtained ASPPA PA-1A and PA-1B certification.

Reviewed items returned from Correspondence Department to Operations Department forincorrect compliance procedures.Assisted Team Leader with management of part-time staff.Worked directly with over 100 brokers to resolve any customer service issues, maintainingcustomer satisfaction and developing broker/dealer relationships.Proficient in all aspects of various operational groups including Image andCommunications.Processed all transaction types including redeems, transfers and purchase for mutualfunds accounts.

Worked directly with fund shareowners in national call center to execute mutual fundtrades and provide important account and tax information.Counseled customers to nurture leads to forward to the internal wholesalers for futurecontacts for their distribution to outside brokers.Provided service to John Hancock registered representatives, outside brokers andbroker/dealer back offices.Maintained FOLIO (on line database for mutual fund information).Recognized for quality service by National Quality Review.Trained new associates to the call center.Selected as a WMS (Work Management System) liaison for associates.

Bachelor Of Science - Bs, Psychology, Magna Cum Laude

Activities and Societies: American Psychological Association member

Master Of Psychology, Marriage And Family Therapy/Counseling