Maxine M. Email & Phone Number

Greater Chicago Area

Greater Chicago Area

Lead a team of licensed Client Relationship Consultants supporting Wealth Management Advisors in deepening and growing high net worth and affluent client relationships. Solutions included: mutual funds, brokerage, 529 Plans, annuities, IRA, qualified plans, managed accounts, insurance, retirement and estate planning services.• Drove strategic direction, developed talent, and implemented plans to effectively lead team to successful attainment of organizational goals. • Partnered/Collaborated with Sales Directors and Advisors to initiate strategy and tactics to help achieve and exceed sales goals.• Drove adoption of system enhancements that lead to efficiencies and quality improvements that positively impacted participant services.

Greater Chicago Area

Managed and directed all aspects of Retail, Institutional and Retirement Service functions to deliver quality client service/relationship management across organization’s entire mutual fund portfolio by combining the voice of the customer with a solution-oriented compliance approach. Delivered consultative support to internal/ external business partners utilizing strong operational and customer service knowledge. • Spearheaded the client communication committee responsible for reviewing content and providing approval of all direct client communication.• Maintained awareness and understanding of relevant industry trends, best practices, potential impact; formulated and made needed adjustments to teams direction. • Oversaw complaints and other customer issues, including the ultimate resolution and coordination for regulatory reporting requirements.• Active participant of the procedural review committee; developed and implemented policies and procedures to ensure effective controls and best practice as dictated by the regulatory environment and industry best practices.

Greater Chicago Area

Managed relationship with transfer agent and various key strategic partners. Responsible for the oversight of vendor management results(KPI), including building, strengthening and sustaining the relationships. Negotiated service level agreements(SLAs), implemented and maintained contracts with external vendors and developed needed reporting processes and tools. Updated, on an ongoing basis, executive leadership team on present and expected results; ensured vendor adherence to quality standards.• Partnered with vendors to identify, assess and recommend strategies and operational efficiencies: efficiency improvements resulted in $42K savings for Print on demand, 49% reduction in copy cost, 57% reduction in material binding cost and 1 FTE reduction.• Authored first service level agreement (SLA) between the Fund and Fund’s transfer agent.• Developed and designed vendor scorecard to track and actively manage vendor performance.• Provided leadership and guidance on high visibility initiatives, such as financial statement and prospectus e-delivery, print-on-demand, and strategic alliance proxy voting and solicitation projects.

Greater Chicago Area

Directed team of 12 licensed client service analysts responsible for performing all customer service functions to clients. Recruited, completed performance evaluations, developed and trained staff, managed cost. Ensured department procedures/standards were documented, reviewed regularly, and updated for continued compliance with industry regulations and firm policies.• Built infrastructure for team members to develop service skills and build confidence through coaching, training and career development efforts. Resulted in over 50% of team being promoted to sales positions or senior roles within the organization.• Instrumental in implementing first internal quality program and subsequently onboarding an external vendor to provide an independent service quality review. Team has won the service quality award 10 of 12 years and received high honors the other two year.• Successfully led transition of shareholder services department to external vendor while retaining staff productivity and customer satisfaction levels during the transition. Captured $600k annual savings.

Greater Chicago Area

Bachelor Of Science (Bs), Finance

Master Of Business Administration (Mba), Management