Assists financial consultants and financial advisors by providing sales and servicing support. Utilizes past experience as a registered brokerage associate to anticipate and proactively seek resolutions to client problems. Demonstrates seasoned judgment by handling difficult clients with a high degree of professionalism. Duties include: opening accounts and processing paperwork; working with internal departments and/or directly with the client in solving service/operational issues, taking and executing unsolicited investment orders directly from clients and/or via toll-free number, answering or providing information regarding procedural/sales questions, and processing client service requests (address changes, statement copies, etc.); processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals; consistent level of competence in following firm compliance procedures and file maintenance; issuing marketing information to clients; preparing packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. At the direction of financial consultant or financial advisor, may assist in analysis of performance data for investment options.

Manages the branch office administration. Daily office administration duties include overseeing appointment setting and schedules, opening various types of personal and business accounts and all account related maintenance, executing trades, application and processing of life insurance, annuities and long term care insurance and processing a variety of deposits and transactions. Builds quality, one-to-one relationships with clients through exceptional client service abilities. Implements marketing communication programs on a daily basis through updating prospect and client data records, executing direct mail programs, planning seminars, and making follow-up phone calls to set or confirm appointments. Deepens existing client relationships by preparing a variety of reports for scheduled appointments and scheduling systematic contact activities.

Identify, assess, manage, monitor and report on risks associated with Retail Financial Center activities through the successful execution of the Retail Controls Assessment program, supporting four affiliates. Manage basic to complex individual findings and larger risk trends to ensure best processes for risk mitigation.• Performed risk based assessments of internal controls and cash audits for multiple Financial Centers.• Created detailed reports and analysis of findings for all levels of Retail management to initiate action plans and resolutions to the findings.• Worked with all levels of Retail management to resolve questions and conflict resulting from issues identified during the Retail Controls Assessment.• Key contributor in the development of the Retail Controls Assessment through identification of risk trends, awareness of procedure changes, and industry/regulatory knowledge and experience. Made recommendations for addition, elimination, or enhancement to testing methodologies.• Provided/assisted in training for new Retail Control Analysts to build team capability.• Conducted/attended meetings with Financial Center and upper level Retail Management to ensure high-level awareness of risks and controls; communicate program changes and discuss trends.

Managed the overall risk and control environment within thirteen Retail Financial Centers, as well as providing operational support and oversight. • Lowered fraud and operational losses within the Region year over year through detailed coaching and training.• Monitored fraud trends, losses, cash balances, ATM / CSR over & short, aged overdrafts and compliance violations.• Completed an annual audit review of each Financial Center.

Rapid promotion through five positions in six years leading up to Senior Office Manager II accountable for the day to day operations and risk management of the Financial Center. Direct management responsibilities for the operational and referral activities of the Customer Service Representative staff. Responsible for managing a fund of cash and processing a variety of consumer, commercial and other transactions for customers and the general public.• Increased internal audit scores year over year from 2003 to 2005.• Chosen as a trainer for new hires. Created and developed training manuals used in the Florida affiliate.• Awarded the Lead Buddy position in the Buddy / Mentor program of Fifth Third Bank designed to help the transition of new hires.• Participated in the acquisition of Old Kent Bank to Fifth Third Bank and trained transferring employees on new processes and procedures.