Rain Davis Email & Phone Number

Maintain a clear understanding of the similarities/differences of each type of security held by the firm, especially in terms of their complexities. Manage set of queues for assets coming in and out of the firm. Reconcile claims on accounts where assets were sent in error. Screens incoming or outgoing client requests and verifies all necessary legal documentation that accompanies the client signed documents. Communicate daily with contra firms and internal branches to clear any discrepancies. Maintain cross site relationships to support each other and provide an excellent customer experience for the branches and clients

St Petersburg, Florida, United States

Manage a team of 18 associates. Maintain new member relationships. Develop customer support specialists to achieve client and company goals; recognize, reward and encourage successful performance through ongoing monitoring and hands on coaching; inspire and build team commitment. Work with Contact Center leadership to identify and implement process improvements. Communicate company strategies, client initiatives, system enhancements, performance and other key information to team. Participate in execution of day-to-day operations, which includes maintaining service levels, adherence, call resolution time, service quality, and other key performance metrics.

Oversee operations of department responsible for establishing and maintaining new client relationships and accounts for a leading North American investment firm. Collaborates with cross-site peers to establish performance goals and objectives, plans, assigns, and monitors work, and manages department budget. Manages team of 18 Associates across multiple functional areas including COB Subject Matter Experts, the Specialized Transitions Team, and Senior Level support. Hires, trains, and supervises team, implements business plans, and ensures compliance with all company and regulatory standards.

Oversaw the completion of the process of external transfers of client assets and monitored/reviewed, and resolved issues, which included complex out of balances and errors. Edited the SharePoint and Account Transfer RJNet pages when necessary and participated in industry-wide conference calls associated with the implementation of best practices.Highlights:★ Planned, managed, and presented New Hire training.★ Led Home Office visits and departmental tours.★ Assisted management to improve departmental productivity by participating actively in unit meetings, ongoing training, and self-development.

Provided tax reporting information to branch offices and internal departments, and ensured accurate account coding and activity. Responded to incoming inquiries from Advisors, Branch Associates, and Home Office personnel on tax withholding and stayed abreast of developments related to federal/state tax. Calculated and balanced Daily 1042 Foreign Withholding database for Non-resident alien accounts, worked closely with the Cost Basis Team to resolve issues regarding gain/loss for specific transactions, and maintained accurate records and documentation in compliance with IRS requirements.Highlights:★ Developed testing plans in Quality Center for the Quality Assurance review on tax forms after year-end to confirm the absence of errors.★ Delivered a superior client experience by following the core values of service first.

Resolved complex account errors and issues for trading clients. Collaborated with cross-functional departments including Sales, Tax Reporting, Main Office Services, and Operations, maintained accurate records, and ensured that stock and other securities transfers were executed properly. Coached and mentored team, ensured proper handling of adjustment cases, and ensured compliance with all company and regulatory standards.Highlights:★ Designed, tested, and documented new processes and procedures for new documentation program and delivered training presentations to Team Leads and other stakeholders.