James Edward Smith Jr. Email and Phone Number

• Cultivated a collaborative team environment, acted as a mentor to colleagues, and facilitated comprehensive training on job-specific processes and client-focused services.• Served as a contact for escalated customer opportunities while maintaining the duties of Client Relationship Manager as outlined below.

• Acted as the primary point of contact for 34 accounts which traded mutual funds via the NSCC on organization's proprietary platform.• Reviewed and submitted mutual fund trades for management approval.• Researched and resolved trade reject errors with various mutual fund companies, acquired price-protection as needed and resubmitted rejected trades for management approval.• Coordinated and assisted customers with all trade and/or settlement issues.

• Delivered dedicated service while acting as the primary point of contact for plan sponsors, brokers, investment advisors and retiree participants associated with 45 accounts where Broadridge served as trustee.• Provided account specific administration and processed requests based on plan sponsor directives in a timely and accurate manner with a continued focus on minimizing client risk.• Oversaw assigned accounts by reviewing daily reports to ensure compliance adherence. Maintained client communications on regulatory, legal and trust matters.• Performed reviews on assigned accounts as well as completed client billing and resolved aging receivables.

• Managed, processed and resolved claims assigned by Claims Team Manager. Evaluated liability and settled claims within prescribed authority.• Communicated with policyholders, witnesses and claimants in order to gather information regarding claims and referred tasks to auxiliary resources as necessary. • Confirmed or denied coverage and liability; advised policyholders and claimants as to proper course of action.• Negotiated settlements with attorneys, claimants and/or co-defendants. Arranged for expert inspections involving third party or potential fraud actions as needed.

• Served as the primary point of contact for 11 Investor Advisor clients while working within a small, highly collaborative team of 9 professionals focused on building relationships and a more personalized approach to service.• Proactively consulted with Investment Advisor clients through knowledge sharing, efficiency training and education helping them manage and grow their business.• Collaborated with internal partners in delivery of timely and accurate information in response to inquiries and/or service issues.• Researched and responded to client issues related to cost basis information, tax reporting issues, cashiering functions, letters of authorization, powers of attorney, alternative investments, transfers and product knowledge support.