James Locklear Email & Phone Number

Hamilton Township, Nj, Us

-Provide exceptional service for a book of business ranging from 8-12 clients simultaneously-Successfully onboarded new clients to the E*TRADE/Morgan Stanley platforms-Built and reestablished relationships with at risk clients-Support the day-to-day activities for Equity Compensation Plans and Employee Stock Purchase Plans for corporate clients-Engage with clients on a weekly basis implementing timelines for upcoming events, review outstanding issues, and introduce new product functions-Extensive Salesforce and Equity Edge Online experience-Process, rectify, and settle transactions for option exercises, Restricted Stock and Performance vesting events, ESPP purchases, ESPP sales, Retirement Eligibility FICA tax collection and Cash Grant payouts-Reconcile ESPP/ISO dispositions monthly for 6039 reporting clients-Manage caseloads with timely communication and reporting-Host office hours weekly for new hire training and Client Service Management team brainstorming-Respond to client inquires regarding equity compensation concerns-Collaborate with Relationship Managers on process efficiencies and refinements

Pennington, New Jersey, United States

-Conducted daily settlement reporting for employee stock option exercises, restricted lapses, performance lapses, and employee stock purchase plan events-Alleviated workload for Client Service Managers and Plan Sponsors regarding exercise/lapse corrections, reporting, plan updates, and manual compensation requests-Processed accurate recordkeeping and managed administrative activities for our corporate client’s equity plans including Plan Procedure updates, Blackout maintenance, ISO recalculations and Grant Acceptance-Generated monthly Roll Forward reporting encompassing the prior month transactions to run business-as-usual without incident-Provided standard and custom reporting and analytical support of GWIM Operations for multiple product areas such as funds transfer, collateral mgt/margins, corporate actions, static data/data management, control, trader support, clearance/settlement, documentation/confirmations, customer service, new accounts, client valuations, document processing or statement/billing processing-Assisted management with implementing strategies and procedures for addressing plan specific issues and to ensure customer satisfaction

Pennington, New Jersey, United States

-Achieved and exceeded daily processing/service quotas established by management-Partnered with the Merrill Lynch Branch Office to assist with onboarding, maintaining and servicing new client brokerage accounts-Triaged in partnership with Client Associates and Financial Advisors to resolve and deescalate any account issues-Created and managed work flow/project management tracking for management requiring time sensitive results-Managed team inboxes daily (Pledge Collateral, Care Of, FINR3031 and TEAMS) and provided quick turnarounds of all requests-Provided white glove service to Merrill Lynch branches by generating client reports, opening new accounts, executing trades, and maximizing opportunities to upsell and acquire new business opportunities