Kathy Galvan Email & Phone Number

Lake Mary, Fl, Us

Heathrow, Florida

Responsible for the day-to-day plan administration of assigned non-qualified deferred compensation plans. Ensure non-qualified retirement client accounts meet contractual requirements and client expectations. Collaborate with Relationship Managers to service all client requests. • Knowledgeable of Newport Group’s internal applications, procedures and processes. • Understand 409A rules and potential violations. • Entrusted to develop and present internal processes and procedures for a high profile client.

Clark Investment Strategies

Researched, analyzed, updated and maintained all critical and complex information that supported the investment analysts and consultants. Worked with the appropriate insurance carrier and fund companies to resolve fund data discrepancies. Notified client services, consultants, and compliance of fund notifications and processed them according to pre-established procedures. Collected, updated and maintained all carrier materials, prospectuses, supplements, and fund notifications. Produced fund fact sheets and performance summaries through Zephyr and posted to plan portals. Established proper controls and procedures to satisfy SAS 70 requirements.• Worked with a team to develop, implement, and maintain a new investment platform on the Pershing Advisor Solution system; established all relevant operational processes.• Participated in the Innovation Forum by successfully submitting and implementing a solution that reduced printing expenses by over $50,000 annually. • Developed and implemented a new audit system to ensure the validity of fund values (NAV, AUV, Dividends, and Capital Gains) within a proprietary database on a monthly basis.• Participated in the Team Building Committee to promote unity between departments by planning activities (Holiday Party, Summer Outings, March of Dimes, Race for the Cure, Chili Cook-Off, etc.) while staying within a budget.

Client Services

Served as point of contact for assigned clients. Ensured the day-to-day administration of client owned insurance and non-qualified benefit plans. Maintained and insured proper asset/liability requirement as specified by each client. Prepared and audited insurance, benefit and ad hoc reports. Maintained compliance files for variable insurance plans in accordance with Broker/Dealer procedures. • Set up plans on the proprietary administration system and defined plan parameters and calculations in the system in accordance with the plan document. • Worked with a team of Senior Management to create and implement new processes and standard operating procedures.• Successfully trained new and lesser experienced associates.