• Manage day-to-day operations to make sure resources are optimally directed to achieve daily Customer Service Levels• Identify suspicious activity and work with appropriate teams to investigate and mitigate the activity. Solve problems through analyzing risk potential, data management, identifying root cause, and driving to the solution• Mentor associates with respect to customer support and risk analysis best practices• Resolve customer escalated situations in a way that promotes long-term customer loyalty, while balancing business needs• Training incoming new hires to the team and serving as knowledge resource by maintaining a hands-on presence and answering questions• Assist in developing and improving policies and processes related to the functioning of the team

• Work with FIU to review client profiles that have potentially fraudulent transactions and/or suspicious activity • Reduce Fidelity and client risk by following procedures and staying within compliance and regulatory standards • Analyze accounts for activity indicative of questionable exploitation through desktop and other proprietary risk management systems across multiple business channels

• Assist and educate clients on outgoing wire transfers from Fidelity Accounts• Tactfully review and discuss the purpose of money movement transactions with client and consider if reasonable to effectively eliminate potential fraud situations• Act as reservist for Wire Risk as and when needed to help manage call volumes

• Assist Branches with money movement request for High Net Worth clients• Escalate suspicious money movement activity to a Wire Risk Specialist or Senior for further review

• Generate leads for Investment and Financial consultants, Portfolio Advisory Services (PAS) and Brokerage Consultants through an effective CSS process• Build customer relationships using CSS and marketed Fidelity products and services to high net worth accounts• Provide investment guidance using tools to match needs with suitable guidance solutions such as products and services• Drive effective time management by balancing all elements of the sales process: initial contact with client, follow-up outbound calls and lead tracking processes to ensure quality and consistency

Client Relationship Management• Market financial products and services to high net worth accounts through one on one, face to face interactions, resulting in $30.0M in additional Assets Under Management for Scottrade.• Led branch initiative to develop substantial growth in assets and accounts, resulting in branch performance improving from bottom 30% to top 10% nationwide.• Facilitate an introduction to investment strategies for clients and coach them on Scottrade’s new proprietary portfolio management tool which is designed to help clients consolidate assets with Scottrade. • Develop and maintain long term client relationship by carefully planning to meet clients’ immediate and future needs.• Partner with Scottrade Client Education Services to provide depth and understanding regarding financial markets, trading guidance and portfolio management.Compliance / Auditing• Manage account audit reports, fixed income reports, margin delinquencies and concentrations, options expirations, reorganizations, mergers/acquisitions, and delinquencies reports.• Identify and document client issues in Customer Relation Management (CRM) tool and work with supervisors to resolve the issue, resulting in increased client satisfaction and higher client retention. • Adhere to compliance and risk procedures and exhibit detailed attention to disclosure policies by maintaining focus on customers' best interests. Leadership and Teamwork• Convert 85% of leads and referrals into commission generating accounts independently and within a team environment on a consistent basis. • Coordinate with internal departments including New Accounts, Margin, IRA, Account Transfer on behalf of clients to efficiently process client requests and paperwork, establishing stronger relationships for future business.• Mentored and trained 4 junior team members on various client activities to improve their business knowledge and productivity.

Business Development• Managed customer portfolios, service relationships, and cross sold monetary products and services.• Supervised changes and recommendations in order to improve and support business activities and enhance sales goals and loss prevention objectives.Client Relationship Management• Managed planning and design of business processes for marketing and promotions for the bank at the branch level.• Analyzed customers’ needs and assisted in the selection and opening of new accounts, IRA’s, certificates of deposit, debit cards and mortgages.Leadership/Mentoring• Participated in the interviewing, hiring, development and training of an effective sales team.• Created mentor program for employees to improve business knowledge of firm products and services.