Thomas Du work email
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Thomas Du personal email
Thomas Du is a Compliance Officer at Hilltop Securities Inc..
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Compliance OfficerHilltop Securities Inc. May 2024 - PresentDallas, Tx, Us -
Escalations Associate AnalystWells Fargo Advisors Mar 2023 - May 2024St. Louis, Missouri, Us• Coordinated resolution with multiple departments for complex client cases including fraud, legal, settlements, and operations• Analyzed potential risk in response and resolution types to the firm such as legal, financial, and reputational risk • Worked with business partners to research and formulate appropriate responses to client concerns• Provided recommendations for resolving escalated inquiries and complaints, and exercised independent judgement of resolution direction -
Non Qualified Plan Services LeadFidelity Investments Oct 2022 - Mar 2023Boston, Ma, Us• Provided education and guidance on non-qualified retirement plans to highly compensated employees and executives, including applicable federal laws and employer rules • Serviced high dollar accounts of $1,000,000+ in assets• Acted as point of contact for complex customer account issues, including deferrals, disbursements, and employer match calculations• Performed case resolution work for customer accounts -
Launch AssociateFidelity Investments Sep 2021 - Nov 2022Boston, Ma, Us• Gained broad business insight through shadowing departments across technology, workplace investing, and personal investing• Provided account servicing and case resolution to 401k participants using internal software systems• Processed money movement back-office transactions and was the top performer on the team in items handled and accuracy daily• Consistently exceeded department standards for customer surveys (90% satisfaction in associate knowledge and service)
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Account ManagerDallas Texas Consultants Aug 2020 - Apr 2021Dallas, Texas, UsUtilized sales skills and knowledge to obtain new accounts for clients partnered with the firmRecruited and trained new hires to handle sale demands by the clients -
Student InternMclennan County Challenge Academy Jan 2020 - Mar 2020Tutored students in basic interpersonal skills and course work such as geometry, the natural sciences, and basic professional skills.Managed and filed paper work for students.Created course work and curriculum to complete course work with 90% test score average.Inspire and lead students to pursue secondary level education or pursue career goals -
Boat Captain And ManagerWaveinwater Jun 2019 - Sep 2019
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Sales Associate And CashierAmerican Eagle Outfitters Inc. Jul 2015 - May 2016Pittsburgh, Pa, UsProvided customer service by designing outfits for customers leading to 10% increase in sales.Increased customer traffic and retention through promotion of loyalty programs and in-store credit cards while increasing brand recognition.Promoted sales of new products and increased daily store revenue.
Thomas Du Education Details
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Baylor UniversityPolitical Science And Government
Frequently Asked Questions about Thomas Du
What company does Thomas Du work for?
Thomas Du works for Hilltop Securities Inc.
What is Thomas Du's role at the current company?
Thomas Du's current role is Compliance Officer.
What is Thomas Du's email address?
Thomas Du's email address is th****@****fmr.com
What schools did Thomas Du attend?
Thomas Du attended Baylor University.
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