Christopher Sitler Email & Phone Number

Orlando, Florida, United States

Market Supervision Manager (2021-Present) • Supports firms’ business objectives by influencing financial advisors’ business practices in ways to minimize regulatory and financial risks as well as upholding firms’ reputation.• Responsible for wide variety of delegated compliance, administrative and business functions related to Merrill Wealth Management’s Market Executives managerial responsibilities for the parent office and associate offices.• Market supervision manager keeps Market Executive informed on all significant matters and also functions with minimal guidance.• Strong interpersonal skills to provide coaching to financial advisors to mitigate risk through disciplined investment practices and documentation.

Orlando, Fl.

Acts as a point of contact for operational inquiries and escalations from financial advisors and associates in the Market/Complex and surrounding regional branches and assists in resolving client inquiries. Coach client associates on policy and procedures and current events. Also provide career development and growth advice on a regular basis.Review daily Financial Advisors options transactions to ensure it complies with client’s investment objectives. Also serve as backup for reviewing incoming and outgoing correspondences to ensure company policy and guidelines are followed. Also, I am the regional contact for trust inquiries and potential risk and liabilities involving a variety of complex transactions and documentation. I also ensure that financial transactions are completed in a timely manner to reduce financial exposure to both the client and to the firm. Responsible for identifying and preventing potential risk-related transactions involving individual retirement accounts and guardianship accounts. Frequently interacts on routine and sensitive matters with client in a branch environment. Also handle inbound phone traffic in the branch.

Orlando, Fl

Strong knowledge of compliance rules, brokerage operations, estate planning, fiduciary and tax laws. Knowledge of FINRA forms and systems as well trust operations and excel products. Strong analytical skills including legal document interpretation skills. Deposit and general banking knowledge to effectively coordinate the delivery of a wide variety of bank products. Other duties include trouble shooting problems answering questions, working with attorneys, CPAs and internal partners on account details.

Orlando, Florida Area

Handle inbound service calls and process operational tasks from customers, while looking for sales referral opportunities for personal banking products and brokerage services. Answers customer questions within set standards Resolves problems and complaints customers may have about banking products and brokerage services. Subject matter expert on bank and brokerage products Receives and resolves the most complex calls. Conducts research on complex customer issues; interprets policies and procedures; may act as a working leader. Assists with the training of less experienced Service Reps in areas of expertise. May support Specialty Customer Care clients by providing back up to Relationship Managers These clients are typically Private Banking, Investment, and Commercial clients. Daily customer issues include IRA distributions, New account opening, Voluntary and Involuntary reorganization, transfer of accounts, money desk and compliance related questions.

Lake Mary, Fl.

Meet customer requirements through first contact resolution. Confirm customer understanding of the solution and provide additional customer education as needed. Prepare complete and accurate work and update customer file. Communicate effectively with individuals/teams in the program to ensure high quality and timely expedition of customer requests. Contribute ideas on ways to resolve problems to better serve the customer and/or improve productivity. Participate in activities designed to improve customer satisfaction and business performance. Solve problems that are sometimes unstructured and that may require reliance on conceptual thinking.

Strong knowledge of Schwab policy and governmental regulations and how they relate todaily operations. Ability to build and environment where client satisfaction is always atop priority. Responsible for compliance with Schwab policies and securities regulationsfor all team members. Approve exceptions to policy. Reviews policy for applicability andpromote changes when warranted. Accountable for performance results of the team.Demonstrate leadership and decision making skills. Also responsible for all federal fundwires and checks issued within company service standards while meeting SEC and complianceguidelines.Responsible for overseeing inbound call hotline from external clients regardingSchwab procedure for executing wire transfers as well as educating client on the Schwabexternal website.

Responsibilities included building relationships with introducing broker dealer andbetween Pershing business units. Understanding of the broker dealers strategic goals andobjectives and act as an advocate for the broker dealer within Pershing.Informedcorrespondents of new products to maintain and increase revenue stream.Provided productknowledge and technical assistance as necessary. Resolution of high level issues andcomplaints, ensuring customer service work is completed properly and in a timely fashion.Maintain all client relationships in accordance with all applicable regulations andPershing policies. Provide problem resolution in a timely manner.

Strong knowledge of Schwab policy and governmental regulations and how they relate todaily operations. Ability to build and environment where client satisfaction is always atop priority. Ensure Human Resource policies and procedures are followed.Responsible forcompliance with Schwab policies and securities regulations for all team members. Approveexceptions to policy. Reviews policy for applicability and promote changes when warranted. Work on multiple large scale projects effectively and keep others informed of progressand changes. Accountable for performance results of the team. Demonstrate leadership anddecision making skills. Hire high caliber people, develop teams and talent with diversecapabilities, accurately appraise strengths and develop opportunities of others, andprovide constructive feedback.Conduct departmental call coaching and calibration. Partnerwith departments within Schwab to ensure client satisfaction. Gave departmentalpresentations during quarterly and annual events.

Run day to day operations of a service team. Provide risk management, audit, and careercounseling to team representatives. Provide training to all team members in areas ofcompliance and sec regulations. Monitor daily phone/task volumes and allocate teamresources in order to achieve service level requirements. Recommend solutions to improveproductivity while insuring compliance with audit and regulatory requirements. Serve asescalation point of contact for highly complex and sensitive business problems and issues.Work on multiple projects effectively while keeping others informed of progress andchanges as necessary.

Manage workflow and resources to ensure operations functions are completed in a timelyand risk averse fashion. Work processes include cashiering, wires, new accounts, documentcontrol and management fees.

Maintain Institutional Financial Advisory relationships. Responsible for operating andservicing high net worth financial advisor accounts. Advised clients of documents neededfor trading in specialized accounts such as Trust, Estate, Corporate, Partnership andInternational Offshore accounts.