About Annette Puglia:
Wealth Client Services / Operations Manager
Conduct Reporting & Analysis to Identify, Research, & Resolve Issues
Ambitious, self-directed financial industry leader who thrives in fast-paced, deadline-driven work environments. Own a wide variety of initiatives that include monthly/quarterly analysis, licensing management, compliance, and reporting. Collaborative, quick learner who embraces new software, provides and welcomes feedback, and interfaces with internal/external stakeholders. Areas of expertise include:
Research | Problem Solving | General Ledger (GL) | Account Reconciliation
Compliance & Regulations | Investment Products | Issue Resolution | Brokerage Accounts
On/Off-Boarding | MS Office & Teams | Excellent Follow-Up| Detail Oriented and able to Multitask
Experience
Professional Experience
WEBSTER BANK, Jericho, NY (formerly STERLING NATIONAL BANK)
Manager, Operations Wealth Services 2017 - 2023
Perform monthly and quarterly analysis on Financial Advisors (FAs) and Licensed Bank Colleagues (LBCs) production to ensure alignment with the bank’s policy/procedure guidelines. Confirm all licenses and continuing education are current.
- Acted as liaison between LBCs and clearing firm and tech support.
- Ensured compliance of LBCs, including CE completion, license renewal, and completion of regulatory requirements.
- Confirmed wealth marketing review by all parties, submitting to the principal marketing team for approval.
- Performed monthly analysis on all FA and LBC transactions, evaluating alignment with procedural guidelines.
- Tracked all client complaints and resolutions in the bank’s system, determining trends and bringing to senior management’s attention.
- Measured performance, collecting, analyzing, and submitting results to management for review.
- Monitored and reconciled DDA, expenses, and general Ledger accounts; disbursed expenses to proper teams, reconciled commissions, reviewed expenses, and monitored monthly and year-to-date goals.
- Maintained compliance with all regulations, policies, and procedures, assisting with internal audit and outside regulators’ requests.
- Prepared Investment allocation summaries, charts, MTD, YTD, supplying to senior management.
- Leveraged knowledge of investment products and services, support operations, and applicable regulations affecting delivery.
Registered Sales Assistant, Melville, NY 2014 - 2017
Assisted Financial Advisors and Program Manager with all daily activities.
- Processed monthly commission, calculating payouts for FAs, LBCs, and the program manager.
- Participated in all aspects of brokerage account opening and closing, transfers, maintenance, executed investment transactions, move money, and changing of FAs accounts.
- Interacted with clients, processing requests and promptly answering inquiries.
- Knowledge of investment products and retirement plans.
CAPITAL ONE FINANCIAL ADVISORS, Melville, NY 2012 - 2014
Brokerage Processing Associate
Reconciled daily commissions received from carriers. Researched and problem-solved discrepancies. Assisted financial advisors, sales managers, auditors, and upper management with special projects per request.
- Delivered customer service and support for financial advisors’ clients, including inquiries on commissions, issue resolution, and contacting wholesalers.
- Processed deposits for Pershing Clients via NetX360, ensuring receipt for investments.
- Act as liaison between COFA processing and Trust
- Prepare Trust trade reports and reconciled differences,
- Processed deposits for Pershing Clients via NetX360, ensuring receipt for investments
BANK OF SMITHTOWN (acquired by PEOPLE’S UNITED BANK), Smithtown, NY
Trust Officer 2010 - 2011
Directed administration, operations, and asset management for Trust Department. Oversaw and reviewed investment portfolios for personal trusts, estates, and investment management accounts.
- Supervised designated team, ensuring individuals carried out activities and responsibilities per specific roles.
- Met and communicated with clients regarding investment concepts, encompassing asset allocation, diversification, and investment fund types.
Additional Role Held:
Assistant Trust Officer / Administrator / Operations 2000-2010
Supported trust team with administration/operation duties and reporting requirements for clients, management, regulators, and other parties.
- Assistant Trust Officer with Estate and Trust Administrations, and Investment Management Accounts.
- Reviewed client’s portfolio on a quarterly basis or as needed.
- Opened, maintained, and closed Trust accounts.
- Reviewed trust documents and investment portfolios ensuring terms of account agreement and trust documents were adhered to.
- Research and remedy client inquiries and issues.
- Interfaced with clients, accountants, attorneys, actuaries, and portfolio managers.
- Sungard system.
Education
Education
Bachelor of Science (BS), Business, Management, and Economics, Empire State College, Hauppauge, NY
Licenses
Series 7 and 63 |Life, Accident, and Health Insurance
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