Beth Holbrook, Iaccp® Email & Phone Number

Saratoga Springs, New York

Manage the daily operations and client services of a growing asset management firm. Work with leadership team to ensure strategic initiatives are implemented with a client-first, compliance-focused mindset. Ensure professional, technical, and client service issues and requests are resolved with a sense of urgency. Regularly and proactively communicate with advisor reps and staff to ensure mutual clients are receiving best in class service. Collaborate with CCO in coordination and execution of… Show more Manage the daily operations and client services of a growing asset management firm. Work with leadership team to ensure strategic initiatives are implemented with a client-first, compliance-focused mindset. Ensure professional, technical, and client service issues and requests are resolved with a sense of urgency. Regularly and proactively communicate with advisor reps and staff to ensure mutual clients are receiving best in class service. Collaborate with CCO in coordination and execution of required compliance disclosures and client services material. Oversee performance of junior team members, coordinating daily, monthly, and quarterly processes to achieve optimal outcomes. Expand knowledge of business by continually being open to learning and adapting to an ever-changing industry. Show less

Ponte Vedra Beach, Florida

Oversaw client services and operations for asset management firm, focused on providing superior service to advisors and their clients. Led extensive custody integration project (TD Ameritrade to Charles Schwab). Led and mentored team members including trader, client services associate, and senior marketing specialist, ensuring daily, monthly, and quarterly processes ran smoothly. Collaborated with executive management, portfolio analysts, compliance, and operations and client services teams… Show more Oversaw client services and operations for asset management firm, focused on providing superior service to advisors and their clients. Led extensive custody integration project (TD Ameritrade to Charles Schwab). Led and mentored team members including trader, client services associate, and senior marketing specialist, ensuring daily, monthly, and quarterly processes ran smoothly. Collaborated with executive management, portfolio analysts, compliance, and operations and client services teams to create, develop, and improve all facets of the business for continued growth, while fostering and maintaining client relationships, providing highest quality concierge service. Show less

Ponte Vedra Beach, Florida

Primary point-of-contact for daily operations of an investment advisor to a closed-end interval fund that provides investors with access to early-stage private equities. Liaison to transfer agent, sales team, advisors, and third-party vendors. Managed multiple programs including shareholder servicing, quarterly repurchase and all marketing and communications pieces, providing quality control, creation/enhancement of processes and documents, and supervision/mentoring of operations team… Show more Primary point-of-contact for daily operations of an investment advisor to a closed-end interval fund that provides investors with access to early-stage private equities. Liaison to transfer agent, sales team, advisors, and third-party vendors. Managed multiple programs including shareholder servicing, quarterly repurchase and all marketing and communications pieces, providing quality control, creation/enhancement of processes and documents, and supervision/mentoring of operations team. Collaborated with executive team on strategic initiatives. Supported Chief Compliance Officer by managing Code of Ethics program. Assisted with regulatory filings and board presentations. Facilitated team workshops to promote self-awareness, potential growth in the areas of communication, decision-making, managing conflict, and dealing with change, using the MyersBriggs Personality Type tools. Show less

Ponte Vedra Beach, Florida

Assisted in the daily operations, including marketing/communications, shareholder servicing, compliance support, and distribution for an investment advisory firm. Built strong relationships across the organization and with third-party vendors and advisor clients to ensure expectations were met and all facets of operations ran smoothly. Provided prompt issue resolutions. Took initiative on multiple strategic projects and provided quality control on all marketing/communications pieces.

Jacksonville Beach, Florida

Developed overall strategic vision for compliance, effectively managed and mitigated legal and regulatory risk, established proper controls, and supported business initiatives. Maintained and reviewed policies, procedures, and practices to ensure compliance with all laws and regulations for a firm that specialized in the management equity, fixed income, and balanced investment portfolios. Drafted and filed extensive annual regulatory documents (Form ADV 1, ADV 2 – Brochure, ADV3 – Form CRS)… Show more Developed overall strategic vision for compliance, effectively managed and mitigated legal and regulatory risk, established proper controls, and supported business initiatives. Maintained and reviewed policies, procedures, and practices to ensure compliance with all laws and regulations for a firm that specialized in the management equity, fixed income, and balanced investment portfolios. Drafted and filed extensive annual regulatory documents (Form ADV 1, ADV 2 – Brochure, ADV3 – Form CRS). Ensured adherence of company’s Code of Ethics to assure employees acted in the best interest of clients which included high net worth individuals, mutual funds, and a long/short hedge fund. Served as liaison between executive team and the staff on strategic and culture initiatives. Show less

Jacksonville Beach, Florida, United States

Marketing Coordinator 2010 — 2017Promoted firm’s brand and the sales and marketing efforts by organizing, coordinating, and implementing annual client events, updating marketing pieces, and assisting in creation of websites, advertising, and reprints. Updated due diligence databases, answered RFPs, designed various presentations, and extracted data, calculated, analyzed, created spreadsheets and reports, and distributed information for analysis and review. Administrator of Constant Contact… Show more Marketing Coordinator 2010 — 2017Promoted firm’s brand and the sales and marketing efforts by organizing, coordinating, and implementing annual client events, updating marketing pieces, and assisting in creation of websites, advertising, and reprints. Updated due diligence databases, answered RFPs, designed various presentations, and extracted data, calculated, analyzed, created spreadsheets and reports, and distributed information for analysis and review. Administrator of Constant Contact for mass emails to clients and prospective clients. Show less

Jacksonville Beach, Florida, United States

Handled all correspondence, Outlook email and phone line, coordinated calendar, including travel arrangements, logistics, meetings, and material preparation, and assisted with personal financial matters. Met with current and prospective clients, assisting with paperwork, account transfers, communicating processes, and followed up to ensure timely completion. Maintained databases, updated marketing brochures and presentations, and produced expense reports and mass mailings.