Sandra Ley Email & Phone Number

Conshohocken, Pa

Office Administration,Office Manager, Operations Manager, Service Manager, Wealth Client Customer Service, Marketing and Advertising Communications, Event Planning, Compliance Reviews and Audits

Provided customer service for prospective and existing clients regarding brokerage accounts and referred clients to other banking departments for their banking needsAssisted Financial Advisors by providing sales support including policy and procedural processes along with compliance expectations, solving service and operational issues and providing customer service to their clients.Assisted operations manager with monitoring and adhering to federal and state regulatory compliance laws… Show more Provided customer service for prospective and existing clients regarding brokerage accounts and referred clients to other banking departments for their banking needsAssisted Financial Advisors by providing sales support including policy and procedural processes along with compliance expectations, solving service and operational issues and providing customer service to their clients.Assisted operations manager with monitoring and adhering to federal and state regulatory compliance laws, policies and procedures for Financial Advisors resulting in excellent annual audits.Handled time sensitive and confidential material to meet daily and monthly deadlines and report back to Operations Manages and Regional Sales Manager.Trained newly hired Financial Advisors on compliance sales and service guidelines, brokerage account opening process and sales and referral success measurement system.Researched, analyzed and prepared documentation and maintained all compliance files for monthly and annual audits regarding compliance requirements for Financial Advisors.Developed daily and monthly system to review Financial Advisor's outside accounts and outside business activities, review managed client's accounts, resolve customer account identification exceptions, processed 529 College account and annuity paperwork. Show less

• Provided clients with total financial service solutions –banking, lending, brokerage and insurance- resulting in increased household customer portfolios and pro-actively cross selling additional products through appointments, referrals and outbound calls.• Skilled at consulting with clients to analyze and assess their financial situation and develop and implement strategic solutions to further their financial planning goals while also attaining their own financial safety net.• Managed… Show more • Provided clients with total financial service solutions –banking, lending, brokerage and insurance- resulting in increased household customer portfolios and pro-actively cross selling additional products through appointments, referrals and outbound calls.• Skilled at consulting with clients to analyze and assess their financial situation and develop and implement strategic solutions to further their financial planning goals while also attaining their own financial safety net.• Managed high volume workload within a dead line driven environment and accurately conducted business transactions in compliance with established policies and regulations.• Awarded for displaying an unwavering and ambitious commitment to insightful, creative and caring customer service with the ability to build productive relationships, resolve complex issues and win customer loyalty.• Recognized by awards and bonuses for consistently exceeding individual monthly and annual sales goals resulting in leading sales quotas for the region while also generating revenue for the branch team. NASD Series 6 & 63 Licensed (Life and Fixed Annuities, Variable Life/Variable Annuities) Show less