Direct responsibility for the performance of 16-20 401k processing specialists; introducing, negotiating, selling new mutual funds; negotiating, selling new products and services. Obtaining and exceeding processing standards, strict adherence to financial objectives, preparation of annual budget/ balance statements. Hiring and developing a dynamic staff, training, creating and implementing new efficiencies.

Proactive/candid communications with internal and external clients with focus on client retention & up selling, supervision of all incoming and outgoing client conversions, strict adherence to financial objectives, occasional travel, client visits, daily supervision and development of 33 Corporate Actions employees, monthly calculation of interest for all bank accounts, detailed review of all bank functions including billing, proper billing and collections related to the termination of… Show more Proactive/candid communications with internal and external clients with focus on client retention & up selling, supervision of all incoming and outgoing client conversions, strict adherence to financial objectives, occasional travel, client visits, daily supervision and development of 33 Corporate Actions employees, monthly calculation of interest for all bank accounts, detailed review of all bank functions including billing, proper billing and collections related to the termination of client accounts. Supervision of all audit functions (i.e. NASD, CO Banking Commission, SAS70, and SEC)Also compliance contact for Computershare's Golden, CO site, responsible for maintaining all employee registrations, complaint reporting to NASD and SEC, assurance regulatory standards are met for all support departments, facilitating internal/NASD/SEC/CO Banking Commission audits. Show less

In addition to all duties preformed at Merrill Lynch, I was responsible for all of the following: the training and registration of all new representatives, supported and signed off on the conversion of all incoming and outgoing accounts, managed all support departments including legal, asset transfer, cashiering, mail room, and new accounts. Played a vital role in the successful conversion of 320 employee stock purchase plans from Merrill Lynch to Computershare and assisted with the development… Show more In addition to all duties preformed at Merrill Lynch, I was responsible for all of the following: the training and registration of all new representatives, supported and signed off on the conversion of all incoming and outgoing accounts, managed all support departments including legal, asset transfer, cashiering, mail room, and new accounts. Played a vital role in the successful conversion of 320 employee stock purchase plans from Merrill Lynch to Computershare and assisted with the development and implementation of all support department procedures.Acting compliance officer for Computershare's Golden, CO site, responsible for maintaining all employee registrations, complaint reporting to NASD and SEC, assurance regulatory standards are met for all support departments, facilitating internal/NASD/SEC/CO Banking Commission audits. Show less

Direct responsibility for the performance of 40-45 participant service representatives, obtaining and maintaining call center productivity objectives. Determining and maintaining a proper staffing level. Interviewing, selecting and retaining an exceptional staff. Preparation of departments annual budget as well as forecasting future budgetary needs. Organizing and delivering projects assigned by Sr. Management. Including but not limited to assisting with the successful conversion of ML's… Show more Direct responsibility for the performance of 40-45 participant service representatives, obtaining and maintaining call center productivity objectives. Determining and maintaining a proper staffing level. Interviewing, selecting and retaining an exceptional staff. Preparation of departments annual budget as well as forecasting future budgetary needs. Organizing and delivering projects assigned by Sr. Management. Including but not limited to assisting with the successful conversion of ML's Employee stock purchase plan book of business to Computershare Plan Managers. Show less

Educating Vanguard customers, discussing proper asset allocation, helping customers to further diversify their portfolios, giving superior customer service.

Full brokerage operations, 401k administration, Microsoft ESOP lead, help and advice, trading and education of stocks-mutual funds-fixed income securities, options, margin and risk analysis, and all customer service issues.