- Acting as a point of contact for escalated cases from advisors, managers, and team members that cannot be resolved at lower levels.- Thoroughly investigating the underlying issues, gather facts, and analyze situations to find effective solutions.- Providing prompt resolutions to ensure client or advisor satisfaction and prevent further escalation.- Educating and providing best practices to mitigate issues from reoccurring- Training team members on how to handle challenging… Show more - Acting as a point of contact for escalated cases from advisors, managers, and team members that cannot be resolved at lower levels.- Thoroughly investigating the underlying issues, gather facts, and analyze situations to find effective solutions.- Providing prompt resolutions to ensure client or advisor satisfaction and prevent further escalation.- Educating and providing best practices to mitigate issues from reoccurring- Training team members on how to handle challenging customer interactions and improve service quality.- Collaborating with different departments (such as operations and product teams) to address and resolve systemic issues.- Sharing insights and trends on escalated cases with TOA leadership to improve processes, policies, or products.- Maintaining detailed records of escalated issues, outcomes, and resolutions.- Generating regular monthly reports on escalation trends, resolution times, and performance metrics to inform TOA management team.- Focusing on restoring and maintaining strong, positive relationships with NFS, advisors, other departments, and team members.- Investigating patterns in escalations to identify root causes and recommend improvements to reduce future issues to TOA Management Team.- Working proactively with the team to identify at-risk issues and address them before they become larger problems.- Empowering advisors by providing them with resources, tools, and support to prevent the need for escalations.- Ensuring that all escalations are handled in accordance with company policies and regulatory standards.- Using strong communication and interpersonal skills to de-escalate tense situations, turning negative experiences into positive outcomes. Show less

- Performing all level 1, 2, and senior analysts duties- Assisting with inquiries/escalations that come into the TOA escalation email- Aiding with interviewing new prospects and job shadows when needed- Handling advisor feedback emails in a timely manner- Identifying inconsistencies/problems and proposing solutions while actively working to improve policies and procedures- Handling internal team escalations outside of day-to-day issues including corrections- Using LUCID… Show more - Performing all level 1, 2, and senior analysts duties- Assisting with inquiries/escalations that come into the TOA escalation email- Aiding with interviewing new prospects and job shadows when needed- Handling advisor feedback emails in a timely manner- Identifying inconsistencies/problems and proposing solutions while actively working to improve policies and procedures- Handling internal team escalations outside of day-to-day issues including corrections- Using LUCID to map processes to enhance efficiency and implement automation Show less

- Performing all Senior Analyst duties- Completing call & case reviews each month of analysts in the transfers department- Escalating items with our clearing firm NFS as the first point of contact for team members- Performing QA and noting feedback on team members’ QA pages- Assisting team members with their questions regarding transfers and being a point of reference- Implementing/updating training procedures and training/mentoring new analysts when… Show more - Performing all Senior Analyst duties- Completing call & case reviews each month of analysts in the transfers department- Escalating items with our clearing firm NFS as the first point of contact for team members- Performing QA and noting feedback on team members’ QA pages- Assisting team members with their questions regarding transfers and being a point of reference- Implementing/updating training procedures and training/mentoring new analysts when necessary- Responding to emails from advisors and their staff regarding transfer related inquiries- Assisting Supervisors with PTO statusing when necessary- Approving Team Huddle meeting minutes prior to them being sent to the team- Conducting roundtable discussions with the team and compiling feedback- Providing performance feedback to Supervisors/Manager on seniors/analysts- Assisting with projects/stats as necessary Show less

- Performing all Transfer of Assets Analyst II duties- Proactively identifying workflow issues or efficiencies within TOA- Mentoring and assisting team members with questions, and answering the questions in a timely fashion in the TFRQ chats & Delivery TFRQ

- Performing all Transfer of Assets Analyst I duties- Reviewing/processing transfer paperwork submitted by contra firms for transfers leaving Commonwealth- Serving as Transfer of Assets Liaison for our Virtual Admin Team - Communicating with clients and contra firms via queue calls in order to troubleshoot any issues regarding outgoing transfer requests- Reviewing/processing requests for a specific advisor's office and responding to transfer related questions as their point of… Show more - Performing all Transfer of Assets Analyst I duties- Reviewing/processing transfer paperwork submitted by contra firms for transfers leaving Commonwealth- Serving as Transfer of Assets Liaison for our Virtual Admin Team - Communicating with clients and contra firms via queue calls in order to troubleshoot any issues regarding outgoing transfer requests- Reviewing/processing requests for a specific advisor's office and responding to transfer related questions as their point of contact- Teaching advisor's and their assistants the fundamentals of completing our TOA form during Comm 101 as a presenter Show less

- Gained an understanding of different asset classes; Equities, Fixed Income, Mutual Funds, Annuities, and Alternative Investments, and familiarized oneself with the transfer process for each type.- Committing to accuracy, details, and logical decision making when reviewing and processing requests for incoming transfers- Using excellent verbal and written communication skills, as well as listening skills when communicating with advisors’ offices to resolve NIGOs, as well as any issues… Show more - Gained an understanding of different asset classes; Equities, Fixed Income, Mutual Funds, Annuities, and Alternative Investments, and familiarized oneself with the transfer process for each type.- Committing to accuracy, details, and logical decision making when reviewing and processing requests for incoming transfers- Using excellent verbal and written communication skills, as well as listening skills when communicating with advisors’ offices to resolve NIGOs, as well as any issues that arise along the transfer life cycle- Utilizing analytical abilities and researching skills to solve problems - Logging detailed notes and applying statuses to pending incoming transfers allowing advisors and their staff to understand the situation- Communicating with our clearing firm (NFS), as well as many different delivering firms to troubleshoot transfer issues- Serving as an informational resource for our Service Center, advisors, and their staff via queue calls and emails regarding transfers Show less

- Assisted in the on-boarding process of new advisors' book of business by performing transfers in a timely manner- Reviewed transfer paperwork for accuracy, making sure it adheres to regulatory and industry standards- Submitted transfers via the NFS platform, ensuring accuracy and completeness- Managed work through internal CRM system, BOS+- Communicated with National Financial Services to troubleshoot issues as they arise

- Exercised solid verbal communication skills with team leaders, co-workers, and customers- Provided general store/product information; maintained an awareness of all promotions and advertisements, and all other customer service- Worked on projects both collaboratively and independently- Maintained a professional attitude with customers and co-workers- Demonstrated excellent customer service skills when greeting customers in a friendly manner and assisting them

- Created a "Custom Client" list on Excel utlizing Salesforce- Generated PMRs for Relationship Managers by using Vermillion- Analyzed new and modified templates received from Relationship Managers and forwarded forms to Compliance for approval through "Perfect Tracker."- Received plan names and numbers from Relationship Managers to employ enrollment guide process- Constructed fund change letters for Relationship Managers using templates and information provided from the… Show more - Created a "Custom Client" list on Excel utlizing Salesforce- Generated PMRs for Relationship Managers by using Vermillion- Analyzed new and modified templates received from Relationship Managers and forwarded forms to Compliance for approval through "Perfect Tracker."- Received plan names and numbers from Relationship Managers to employ enrollment guide process- Constructed fund change letters for Relationship Managers using templates and information provided from the Relationship Managers. Show less

- Scheduled and delivered presentations regarding insurance policies- Developed a strong knowledge of life insurance, annuities, financial investments, and retiring plans- Persuaded and recruited potential future employees for job opportunities