Sandy (Walling) Kroll Email & Phone Number

Greater Chicago Area

Registered Investment Advisory firm offering fee-only comprehensive financial planning services and asset management services.Chief Compliance Officer 2008-2009- Oversaw SEC reporting, compliance review and procedures for two companies - Automated compliance review creating electronic compliance spreadsheets to monitor trade errors, track receipt of client compliance documents and overall review procedures General Manager 2007-2009- Operations, Human Resources, Financial Reporting and billing, Marketing and IT technology - Created HR procedures such as benefits summaries, new hire and termination processes - Streamlined billing processes, tightly monitored collections

Managed 20+ NASD licensed associates providing investment solutions and counseling to outsourcing clients on their retirement options, education planning and fee-only advisor referrals. - Domain lead interacting extensively with internal outsourcing leadership, client teams and clients on brokerage and educational offerings (call center, web-based, and seminar curriculum). - Managed business development benefits of the Personal Finance Center in retirement client offerings successfully implementing several new Hewitt clients and expanded solutions to existing clients. - Expanded call center operations to include a dual call center located in Charlotte with the addition of brokerage operations formerly supported by Harrisdirect in early 2006. - Subject matter expert responsible for reviewing technical content and developing materials for our education website (Hewittpfc.com). - Improved new sales capture through call center operations (decreasing cash outs) during last fiscal year by 30% through development of needs based client team training, proactive call out program to term vested and age based force-out plan participants and interweaving plan components in retirement option conversations.

Personal Financial Services/Financial Planning Solutions – a provider of broad-based employee financial education, counseling and communications programs to top tier organizations.Managed nationwide client support and consultant group call centers of 20+. Client support group scheduled workshops and counseling sessions, processed client financial plans and assisted with online support for our website the PwC eAdvisor. The consultant group assisted clients with tax questions, financial planning issues, benefits enrollments, retirement plan changes and estate tax and beneficiary concerns.- Analyzed, developed and implemented nationwide phone system to cross utilize nationwide PwC resources which resulted in annual payroll savings of $500,000 or better, 30 % more coverage of call center hours, and improved direct pick up rate to 97% or better (increase of greater than 10%).- Managed quality assurance compliance ensuring that financial planning calls were properly responded to, documented, reviewed and followed up as needed. Interviewed and trained tax consultants on client responsibilities, technical accuracy and firm standards. Established policies and procedures for our call center operations. Oversaw performance and career development plans for our tax consultants. - Managed consultant group in developing and revising technical materials for new and existing clients. - Business development - written and verbal sales proposals analyzing and presenting practice group’s performance.- Interfaced with our technology group and telephone consultants to ensure efficient use of our online learning site and call center. Improved client satisfaction by creating content for life event courses in addition to recommending and implementing several solutions to enhance our web pages, phone systems and database documentation systems.

Manager (Seasonal) – Personal Financial Services Group - Reviewed and signed individual, gift, trust and partnership returns for corporate executives. - Trained staff on work paper presentation and tax compliance software

Managed Individual, Corporate, Estates and Trusts, Not-for-Profit compliance clients for second largest CPA firm in Buffalo. Consulted with high Net-Worth clients on their estates and financial plans.- Trained preparers on tax compliance software.- Collaborated with attorneys on clients’ estate and gift returns and financial planning needs. - Reviewed individual, corporate, not-for profit, estate and gift, trust and partnership returns- Coordinated/ procured extensive tax filings for large multi-state corporate environmental consulting client- Secured filings for not-for-profit entities establishing and maintaining their tax exempt status.- Specialized in tax filing for business incorporations, dissolutions and reorganizations.

Small local firm no longer together– Managed compliance for individuals, trusts and estates and gifts

Individual, Corporate, Estates/Gifts and Trusts, Not-for –Profit compliance.- Instrumental in starting financial planning group to compliment compliance clients.- Research, tested and implemented initial tax compliance software

Tax Cerificate, Accounting

Bachelor Of Science (B.S.), Accounting

Education record