Mark Rummans Email & Phone Number

Overland Park, Kansas, United States

United States

Tested and audited the Policies and Procedures within the organization's departments for compliance per FINRA, The Bank Secrecy Act, and The SEC's rules and regulations. Conducted background checks for the broker dealer on new and existing accounts to ensure we knew our clients and confirm they were not engaging in securities fraud, money laundering, market manipulation, and are not on any lists such as OFAC (Office of Foreign Assets Control) that could possibly indicate terrorism financing.

Overland Park, Kansas

Provide research and communication support for a 60 person inbound contact center including researching and resolving complex issues for top producing financial advisors and their clients. Perform reviews of and provide instructions for various legal situations and documents such as, but not limited to trusts, court orders, power of attorneys, death and divorce cases, and guardianship and conservator cases. This includes direct communication with in house and outside legal counsel. Frequently compose detailed written communication to financial advisors, clients, outside financial institutions and law offices.Regularly make decisions in situations that are ambiguous and complex including the ability to deal with "grey area" issues and make time sensitive and accurate judgment calls.

Overland Park, Ks

Received inbound calls primarily from tenured and top producing financial advisors in order to provide them with accurate procedural information and solutions to difficult and specific situations. Provided training in all aspects of the contact center to newer client services representatives, including monitoring calls, in order to promote accuracy and efficiency pertaining to communication with financial advisors and clients.

Received inbound calls from clients and financial advisors relating to all aspects of their accounts. Provided account information, researched problems in order to communicate solutions, and provided written and verbal procedures to clients and financial advisors. Reactive and proactive support to clients and financial advisors, including diffusing tense and difficult situations when necessary.

Overland Park, Kansas

Established, updated, and maintained clients' mutual fund accounts including reviewing documents and forms for accuracy.

Communication Studies And Business

Bachelor'S Degree, Communications And Business

Bachelor'S Degree, Communication Studues And Business