Adriana Allen
Client Management Consultant
RESU​ME
Professional ​
​summary
Financial services professional dedicated to the retirement services industry. Experienced in areas such as: Investments, plan design, sponsor education, marketing, customer service, on-site presentations, sales, IRS, ERISA and DOL regulations.
Interested in exploring challenging positions that make use of the current skills set and generate new ones as well. Looking to pursue professional designations that could enhance stakeholder interactions such as CFP and FINRA Series 7.
Have worked with, and tested upgrades on, the following programs:
MS Office Suite, WyStar, SRT, SharePoint, WebEx, Salesforce, Relius, AG, Addvantage, and OMNI.
Work​
experience​
Client Management Consultant
2014 - present
Liaison between Investment Research, Marketing, Professional Services, and Advisory teams. Responsible for coordinating enrollment and education meetings, plan conversions, fiduciary training, and responding to client inquiries. Assist financial advisors with quarterly investment reviews, request for proposals (RFP), fee benchmarking, investment policy statements (IPS), and other projects as needed for defined benefit, defined contribution and non-qualified plans.
Retirement Plan Analyst
2013 - 2014
Daily contact for plan sponsors, consultants and other internal operations team. Responsible for interpreting legal documents, IRS codes, ERISA regulations, trends and issues that may impact plan administration. Other duties include Form 5500 preparation, compliance testing, trust account balancing, and coordinating incoming and outgoing asset transfers with external record-keepers as needed. Participate in Sales Proposal meetings, Request for Proposals and in-person client meetings.
Client Services Manager
2011 - 2012
Responsible for client communications and administration of qualified defined contribution retirement plans including documentation and record keeping, plan statements, and investment information. Act as the consultant for over half of the assigned plans and advise clients on enhanced plan administration procedures. Lead on special projects as needed, such as translation of educational material for participants. Also responsible for enhancing plan administration processes within the limits of established policy to provide customer satisfaction and contribute to the growth and success of the organization. Travel to select clients for final sales presentations, prepare and deliver annual client meetings.
Client Account Manager
​2007-2011
Day-to-day liaison between retirement plan sponsors, relationship managers and operational groups. Analyze legal plan documents to resolve common to complex operational challenges. Use a consultative approach with sponsors in order to strengthen business bonds and ensure the proper administration of the plan. Responsible for providing clarification on plan rules and resolving issues affecting processes such as 401k contributions, loans, rollovers, and distributions. Provides quality assurance within the institutional retirement department to ensure recordkeeping transactions are completed accurately, on time, and in compliance with the plan document and ERISA. Working to obtain the Certified Retirement Services Professional (CRSP) designation.
Previous Roles:
Distribution Consultant
FINRA Series 6 and 63 licensed role with distribution support for retirement plans. Uncover client's needs using a consultative approach and generate interest in IRAs, if appropriate. Partner with financial advisors to educate clients on a variety of retirement solutions that range from self-directed brokerage to full service IRAs. Develop and implement new strategies to meet sales goals.
Retirement Services Associate
Provide customer service to defined contribution and defined benefit plans. Educate participants through a Retirement Consultation pilot program that provides limited investment guidance.
Prior
to 2007
GeekSquad -Counter Intelligence Agent
2007-2008
Computer repair and sales. Technical support for customers in person and over the phone
GameStop - Game Advisor
2005-2006
Retail, video game sales and customer assistance
Borders Bookstore - Sales Associate
2003-2005
Book, music, digital media sales, customer assistance
Skills
Client Relationship Builder
Retirement Plan Regulations
On-Site Presentations
MS Office Suite
Adobe Photoshop
Marketing Strategy
Process Improvement
Business Translation
Customer Satisfaction
Team Leadership
Account Management
Languages
English - Native proficiency
Spanish - Native proficiency
Japanese - Conversational
Education
University of Puerto Rico
2003-2007
Bachelor's of Business Administration - Marketing, Management. Also participated in program for Small Business Creation and Management.
Located in Rio Piedras, Puerto Rico.
Wesleyan Academy
Class of 2001
College-preparatory school in Guaynabo, Puerto Rico.