Mature, experienced investment/executive assistant well-versed in all aspects of office management, client services, marketing and advisor assistance. Looking to be an integral part of your team, facilitating the growth of your business and working c
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Location: Hamilton, Massachusetts, USA
School: Boston University
Major: Mass Communications and Public Relations

Mature, experienced investment/executive assistant well-versed in all aspects of office management, client services, marketing and advisor assistance. Looking to be an integral part of your team, facilitating the growth of your business and working c

Senior Financial Administrator/Client Services Manager
Ipswich Bay Advisors, January 2005 to present

Key support person to founder and managing partner of small but dynamic investment and insurance firm. My position is to proactively and independently handle client servicing and business processing/support, allowing the partner to concentrate on portfolio management and building the business. In my fourteen years with this office, I have helped the firm grow from a three-person operation with approximately $10 million under management to an eight-person office with over $130 million under management.

I’ve been involved in all aspects of client services, business processing, marketing and office management including:

BUSINESS PROCESSING: Preparation, review and processing of all client business on both Schwab and Pershing platforms in a timely and accurate fashion including RIA and commission-based brokerage accounts and retail products including mutual funds, variable/fixed/EIA annuities, alternatives, term life and LTC insurance.
CUSTOMER SERVICE: Quality, timely and friendly customer service to high net-worth individuals regarding investment accounts (distributions, deposits/contributions, rollovers, transfers, tax information, estate changes, account research, etc.); Proactively calculate and solicit all annual RMD distributions, benefit payouts, etc. Created “new client kits” and other materials to aid in smooth customer service.
COMPLIANCE: Manage all compliance requirements for the office including RIA ADV updates and dissemination, annual SEC requirements, broker/dealer requirements, representative annual and quarterly paperwork and questionnaires, licensing, blotters, firm elements/continuing education, advertising approvals, proper storage of electronic and physical files, etc. Manage internal and external audits by broker/dealer and FINRA/SEC.
BILLING: RIA fee calculation and billing for both 401k and personal wealth business including automated schedules on NetEx, manual uploads for Schwab and Pershing, TPA deductions and direct invoicing. Track all receivables and summarize into quarterly summaries showing total AUM, income, overrides and representative/referral splits.
MEETING PREPARATION: Preparation of all client meeting and presentation materials including Albridge and Morningstar reports, account summaries and statements, folder and hand-out, proposals, etc.
MARKETING: Manage, write and/or design most marketing and communications including website, Facebook page, newsletters, email blasts, brochures, advertisements, etc. and work with outside vendors (printers, mail houses, radio stations, digital media as well as prepackaged programs like CreativeOne and Ed Slott). Involved in firm identity development (logo, colors, fonts, etc.) and brochures, letterhead, business cards, etc.
EVENTS: Manage and promote events, seminars, workshops, and company events from planning, scheduling, compliance approvals, location scouting, invitations, follow up and analysis. Develop from scratch or manage outside vendors. Holiday card and gift list merge/purge, gift selection and mailing.
SCHEDULING/SCREENING: Make and track client appointments, manage partner’s schedule, review and screen partner emails to proactively address customer service. Accurately screen and address prospect, client, vendor or sales calls.
NEW EMPLOYEE HIRING: Handle the search, hiring and training of new employees, including writing and posting job listings, reviewing resumes, interviewing candidates and post hire administration such as fingerprinting, background checks, broker/dealer requirements, etc.
INFORMATION TECHNOLOGY: Regularly work with external IT consultant on compliance, security, email additions, upgrades, etc. Regularly review and compare systems for purchase or upgrade. Assist fellow employees with IT issues.
SPECIAL PROJECTS: Single-handedly managed broker/dealer transition, including licensing, appointments, repapering of over 200 clients, transfer of all information and systems, training of employees, compliance issues, vendor rep changes, etc.
Managed client transition from commission-based business to RIA including all repapering, documentation and client assistance.
Assist in the analysis and processing of purchased books of business.
Mining of existing business to identify new business opportunities.
Developed compliant filing system which also streamlined client information and accessibility to that information. Customized CRM software, tailoring to our business and broker/dealer requirements.
Managed office relocation.

 Thorough knowledge of the financial industry, products, compliance requirements.
 Thorough knowledge of the Microsoft suite of products -- Outlook, Word, Excel, Powerpoint.
 Thorough knowledge of Adobe Reader/Writer, Docusign, Laserapps.
 Thorough knowledge of CRM programs ACT and Salesforce.
 Thorough knowledge of NetEx, Albridge, Morningstar Workstation, Schwab Advisors, DSTVision, RegEd, NIPR.
 Extensive marketing experience brings unique strength to the position. As an excellent writer and former marketing manager, I can provide two disparate talents with financial industry knowledge.
 Well versed in Mailchimp, Constant Contact, Wix website design, FMG website program.
 Very used to working in an extremely fast-paced, demanding environment where multitasking is essential.
 Fast learner with ability to “hit the ground running.”
 The office “go to” person for all procedures, questions, problems.
 Professional but relaxed and warm rapport with clients and employees.

OTHER EXPERIENCE: Freelance Account Manager and Writer, Account management and writing services for clients including Harvard Business School, SDC Corporation, Holland Mark Martin, Digital Equipment Corporation, Venture Publishing, Putnam Financial, Owl Scientific, Edlund Mulcrone, Hanover Insurance, Allmerica Financial.
Marketing Communications Manager, Owl Scientific, Woburn, MA, Built and managed entire marketing communication department for small biotechnology company.
Consultant, Venture Media, Boston, MA, Researched, planned, executed and evaluated complete marketing programs. Key player in small marketing firm.
Account Manager, Waters Chromatography, Milford, MA, Promotional marketing manager for five instrumentation and computer product lines.
LTX Corporation, Westwood, MA. Public Relations and Communications Associate. Technical article writing, media relations, trade shows, customer newsletter, collateral.
The Boston Company, Inc., Boston, MA. Internal communication associate for transfer agent training department.
The Boston Bar Association, Boston, MA. Writer.
Documentation Development, Inc., Communication Planning, Brookline, MA. Developed computerized networking/client data base/mail list.
EDUCATION: School of Irish Studies, Dublin, Ireland. January 1985 to June 1985.
Boston University College of Communication, Boston, MA. Degree: BS in Mass Communication and Public Relations minor in Organizational Communications/Management.

Experienced, Mature, Executive Assistant, Investment Assistant, Administrative Assistant