ECMO INTAKE SPECIALIST 1 (WIM Complaints) - WELLS FARGO ADVISORS - Saint Louis, MO
(2011-01)
Intake of accounts, asset information, database, spreadsheet management, ten key data entry, and various administrative duties as assigned.
- Compiling detailed breakdown for Stocks, Bonds, & Mutual Funds using Microsoft Excel spreadsheets for Financial Advisors and Client Associates related to IRA and standard brokerage accounts
- Advanced knowledge of varied computer programs, I.E: Worm-Book & Records, PEGA 7, DisputeMax, DMS and SharePoint
- Gather, process and manager client information and integrate into the organization's system
- Assisting team members and field reps with the resolution of escalated issues
- Processing check requests for settlements
- Direct contact with Regional Branch Managers for information regarding open compliant cases
- Preparing audits for FINRA and S.E.C. quarterly reporting
- Authoring, editing, proofreading, and revising customer correspondence
- Communicating with field representatives to ensure said correspondence has met the desired standards
- Advanced user of Microsoft Office and Adobe Acrobat/Creative Suite
- Using referenced programs daily to complete all tasks related to my position
- Serving as a backup for legal processing teams and administrative teams
- Distributing various metrics derived from reports and audits to management as needed for various projects
- Assisted in managing projects to meet deadlines and requirements set by the Complaint Oversight Group and other lines of business involved
- Leadership QA over 7 MR (Manager Resources) to review documents and files
- Assisting case managers in researching accounts or contact information within the firm
- Compiling guidelines are met
- Maintained the database that contains legal files, gussets, and other documentation
- Daily work from DMS & RIM system
- Fulfilling requests to have legal files pulled for subpoenas, arbitrations, and for active litigation/court cases, as well as for audit purposes
- Ensuring all documents and complaints cases are filed using WORM compliant proprietary system and filing methods
Office Assistant - POLSINELLI SHUGART PC - Saint Louis, MO
(2009-01 - 2011-12)
Document verification, ensuring accurate response to client and company mailing, document preparation for imaging and indexing.
- Daily duties that require working RIM program
- Ten key data, e-mail correspondence, new account opening, foreign document processing
- Review and process invoices for check request, create and update purchase order and log in all account receivable
- Compose professional correspondence to customers, employees, and clients
- Also, other clerical duties as assigned
- Schedule appointments, tracking and reviewing changes to internal documents and communicating said changes to field personnel to ensure they remain in compliance with company policy
- Build relationships with Client Associates and Attorneys to streamline correspondence and to serve a direct and consistent point of contact
Office Assistant - LATHROP & GAGE - Saint Louis, MO
(2000-01 - 2009-12)
Account management and customer service-related duties. Supervising daily operation to ensure all rules and regulations are followed as it pertains to state and federal requirements.
- Available to answer questions about open cases and potential account discrepancies and or information
- Facilitate meetings to discuss productivity and status updates pertaining to escalated issues and work volume
- Communicate changes in regulations and procedures as it pertains to regulatory and government agencies
- Review, research, and resolve escalated requests submitted regarding new cases
- Received and pull documents from eDocs & Net Documents
- Processing request for settlements and ensuring all written and verbal communications with clients in a timely manner
- Perform debit, credit transactions on client accounts for billable hours
- Perform general accounting functions, including preparation of bookkeeping entries, transactions analysis and account balance reconciliations
- Provide operation support for high-level counsel and neighboring departments within the firm
- Training current and new employees on operational procedures, system functions and processing
- Document verification, ensuring accurate response to client and company mailings
- Document preparation for court filings or subpoenas
- Build relationships with client to ensure firms reputation and to serve a direct and consistent point of contact
- Backup receptionist / phone coverage
