Client Services Sample Resume

Objective:
Results-driven, highly analytical, and
quality-focused brokerage professional,
offering consistent record of compliance
and regulatory operations in both
aspects of buying and selling in the
finance industry; having held Series 7,
6, 53, and 63 licenses.

- Commended for aggressive and
proactive efforts in helping clients by
preventing possible trade losses or
valuations in portfolio value.
- Known for excellent work ethic,
integrity, and business acumen to excel
in increasing responsibilities; able to
work well independently and in groups
even under pressure.
- Equipped with superior written
and verbal communication skills;
authored numerous reports and articles
with high level of accuracy and keen
attention to detail.
- Accustomed to managing multiple
demanding projects to achieve immediate
and long-term operational goals on time
without compromising quality.
- Proficient in MS Word,
PowerPoint, Excel, Access, Publisher,
and Outlook along with Adobe.

Experience:
RELEVANT EXPERIENCE

BAY ISLE INVESTMENT ADVISORS, Oakland,
CA
Client Services Specialist 2001–
2005
- Assumed full responsibility in
coordinating and monitoring money
movements, trades, document reviews,
portfolio reconciliation, and account
openings for over 1200 high net worth
client accounts.
- Served as the go-to person for
all concerns regarding custodian
procedures.
- Authored numerous articles for
quarterly newsletter, and delivered
presentations discussing technical and
procedural matters to colleagues.
- Contributed in improving
organizational efficiency through active
involvement in group projects.

EPLANNING SECURITIES, INC., San
Francisco, CA
Operations Analyst 1999–2000
- Played a key role in the launch
and set-up of brokerage operations for a
start-up company.
- Enforced strict compliance with
industry guidelines in the
implementation of procedures for new
account openings, wire and check
disbursements, trading, cashiering, and
cataloguing of data.
- Facilitated the seamless
integration of the ePlanning’s system
with Bear Stearns to make sure that
clearing brokerage’s and start-up’s
operations functioned without glitches.
- Maintained high level of
accuracy and keen attention to detail in
handling files for brokerage, insurance,
and outside mutual fund accounts.

CHARLES SCHWAB & CO., San Francisco, CA
Supervisor, Swing Shift Operations
1993–1999
- Provided expert oversight to 13
representatives, ensuring excellent
performance in opening new accounts,
updating existing accounts, and
responding to customer queries.
- Conducted thorough performance
reviews every quarter; set goals and
resolved escalated issues.
- Guaranteed timely processing of
various customer requests by evaluating
backlog report comprehensively.

Senior Operations Specialist
- Served as authorized
representative to approve applications
after careful review of department trade
reports as well as high dollar wires.
- Analyzed third party
transactions, equity and mutual fund
trade orders while maintaining safe log.
- Shared knowledge on company
policies and regulatory requirements
providing advice to junior
representatives.

Business Development (London Office)
- Assisted prospective
international clients on company
procedures and policies in the opening
and approval of accounts, along with
trading and review of branch trade
report.

Registered Representatives
- Functioned as liaison to
effectively manage and address all stock
options and unregistered stock
transactions made at Charles Schwab by
Affiliate/Control persons of publicly
traded companies.
- Upheld high standards in terms
of accuracy, completeness, and
compliance to regulatory standards of
all submitted paperwork on stock
transfer and trade orders.
- Handled stock transfer and
Expired Paperwork reports; filed trade
orders and regularly met with legal
counsels, clients (affiliate/control
persons), transfer agents, branches, and
various headquarter departments.



OTHER EXPERIENCE

Site Coordinator | BOYS & GIRLS CLUB,
Newburgh, NY 2012–Present
Site Coordinator/Curriculum Coordinator
Chair | SUPPLEMENTAL EDUCATION SERVICES,
Newburgh, NY 2011–Present
Math Fellow, 5th Grade | TRUE NORTH TROY
PREP CHARTER SCHOOl, Troy, NY 2010
Student Teacher, 2nd Grade | CICERO
ELEMENTARY, Cicero, NY 2009
Student Teacher, Res. Room | SMITH ROAD
ELEMENTARY, North Syracuse, NY 2009
Owner/Publisher | TOURSF, San Francisco,
CA 2000–2001

Education:
CREDENTIALS

Master of Science for Teachers - Le
Moyne College, DeWitt, NY (GPA 3.945)
Bachelor of Arts in Philosophy - Brown
University, Providence, RI
For Renewal: Series, 7, 8, 53, and 63

Provided by OneBuckResume.