Jessica Serna Email & Phone Number

San Antonio, Texas Metropolitan Area

Responsible for end-to-end ownership and management of member experiences and strategy development for achieving business targets and long-term goals. Identifies opportunities to improve member experiences leveraging human-centered design and Agile framework. Leads and aligns multiple stakeholders towards a unified experience that serves member, employee and business needs

San Antonio, Texas

Responsible for end-to-end ownership and management of member experiences and strategy development for achieving business targets and long-term goals. Identifies opportunities to improve member experiences leveraging human-centered design and Agile framework. Leads and aligns multiple stakeholders towards a unified experience that serves member, employee and business needs.

San Antonio, Texas

Provided guidance to business partners to ensure projects, processes and product initiatives comply with laws and regulations and internal policies. Leveraged a compliance risk framework to conduct annual compliance testing for adherence to regulatory requirements. Identified compliance risks and provided recommendations to influence business solutions. Managed SEC audit requests.

Monitored trades for proper execution and suitability, identified trades exposing risk to client and/or firm. Monitored registered representatives providing complex product recommendations. Handled written client complaints and presented complaint resolution or status to senior management monthly. Reviewed and approved new relationships, distributions, account maintenance, trade orders/corrections and written correspondence from registered representatives. Managed OSJ Specialist Team responsible for proper maintenance/retention of audit files.

San Antonio, Texas Area

Established estate concierge process that significantly minimized processing time frame and played key role in training team members. Provided concierge service to transition assets to new owner, assisted with account opening process and built rapport with the client in an effort to retain assets. Provided investment advice on assets and engaged Senior Advisor if needs warranted complex financial planning.

San Antonio, Texas Area

Responsible for identifying client investment needs and providing investment advice to help meet goals and objectives. Assisted clients with account opening, account maintenance requests, submitting trade orders, and general account inquiries.