Karen Gordon
Chicago
Summary
Accomplished and dynamic professional seeking to utilize exceptional experience to support the growth and profit of the organization. Skilled interpersonal communicator, able to train and motivate others to their professional best. Proficient in working with cross-functional teams, or independently. Highly skilled Registered Client Associate with background in client services within the financial sector. Experience includes managing client relationships, providing comprehensive support for financial advisors, and executing trades on behalf of clients. Strengths lie in strong communication skills, problem-solving abilities, and thorough understanding of financial markets. Previous work has resulted in improved client satisfaction levels and streamlined operations.
Overview
25
25
years of professional experience
1
1
Certification
Work History
Registered Client Associate
UBS Financial Services
Chicago
01.2001 - Current
- Execute equity trades for retail client accounts to include stock options, performance units, and restricted shares.
- Process new account documentation, maintain current accounts, and review daily activity to ensure proper trade settlement, disbursements, and deposits.
- Assist client with all operational and administrative requests to include banking services, online services, statement reconciliation, costs-basis, and asset transfers.
- Achieved a tight deadline to retitle $150 Million in assets and consolidate assets from three locations after a large client passed away a month prior to a tax law change.
- Strategically utilized an interpreter to locate a widow and prevented the expiration of her husband's $6 Million stock options.
- Specialize in individual employee stock options for small to large quantities.
- Train and mentor new Client Associates as an active member of the training team.
- Schedule portfolio client reviews and generate portfolio reports.
Admissions Associate
Northwestern University
Chicago
<ul>
<li>Assisted prospective students with application processes and requirements.</li>
<li>Reviewed application materials for completeness and accuracy.</li>
<li>Supported admissions events by preparing materials and organizing logistics.</li>
<li>Maintained accurate records of all application materials received from prospective students.</li>
<li>Interviewed prospective applicants for admission into the evening MBA program.</li>
</ul>
- Assisted prospective students with application processes and requirements.
- Reviewed application materials for completeness and accuracy.
- Supported admissions events by preparing materials and organizing logistics.
- Maintained accurate records of all application materials received from prospective students.
- Interviewed prospective applicants for admission into the evening MBA program.
Education
Bachelor of Arts -
Augustana College
Rock Island, ILSkills
- Equity trading
- Asset management
- Account reconciliation
- Document processing
- Financial reporting
- Customer relationship management
- Client onboarding processes
Certification
- Series 7
- Series 66
Timeline
Registered Client Associate
UBS Financial Services
01.2001 - Current
Admissions Associate
Northwestern University
<ul>
<li>Assisted prospective students with application processes and requirements.</li>
<li>Reviewed application materials for completeness and accuracy.</li>
<li>Supported admissions events by preparing materials and organizing logistics.</li>
<li>Maintained accurate records of all application materials received from prospective students.</li>
<li>Interviewed prospective applicants for admission into the evening MBA program.</li>
</ul>
Bachelor of Arts -
Augustana College