Mary Johnson

Interest

Formally on the Board for the Clearwater Jazz Holiday committee.  This is a yearly 4 day event (27 years) concert in the park.  I worked as a volunteer  for 12 years helping put this event together.  Its a free event to the public held in Coachman Park, Clearwater, Fl.  WWW.clearwaterjazz.com

Volunteered for Habit for Humanity painting houses for underpriviliged seniors.

Summary

Results oriented leader with more than 20 years of experience in the Financial Services Industry. History of success in providing excellent customer service. Extensive knowledge in all areas of Operations which includes developing and writing procedures, operations manuals, training materials, operational efficiencies and best practices.  Proven expert in identifying and providing complex problem resolution. Additional core compentecies include:

  • Supervised and trained Customer Service call center
  • Managed and trained, ACATS, IRA, Margin,Custody, Firm Sundry Account, Asset Movement and Alternative Investments
  • AVP sign off for  AML and large transaction
  • Hosted conference calls for Sales Assistants and Advisors on Operational Efficiencies
  • Prepared statistics for CEO on Firm standards and call center information
  • Directly responsible for the rollout of new clearing firm technology and training for firm.
  • Consultant to  Transition Team for Operations.
  • Developed Process Improvement for Customer Service call center

Work History

Work History

Branch Operation Manager

  • Opened a new branch for NY based company
  • Worked with phone and computer tech to install new systems
  • Assisted in build out planning and strategic planning
  • Hired, trained staff
  • Responsible for all branch office compliance
  • Supervised all support staff
  • Directly responsible for margin, custody, new accounts, ACATS
Jan 2004 - Jan 2009

AVP Operations/Customer Service

Invest Financial Corp - Home Office
  • Series 24 Operations Principal signoff and approval for FINRA requirements including, asset movement, AML, and other compliance requirements.
  • Prepared and distributed operations bulletins for the field
  • Updated Operations manuals
  • Created internal Procedures manuals for clearing firms
  • Extensive knowledge of Pershing and National Financial systems and procedures
  • Part of transition team consulting on all areas of Operation
  • Hosted training classes for newly hired Representatives and Sales Assistants on Operations
  • Hosted monthly calls for field on Operational Efficiencies
  • Hosted WEB-EX classes on Training for Clearing Firm Technology
  • Operations Section Chief - Incident Management  for Disaster Recovery
  • Supervised 17 Direct reports
Jan 1998 - Jan 2004

Branch Operation Manager

AIG SunAmerica - Shane & Assoc.
  • Responsible for Branch Compliance (FINRA)
  • General Troubleshooting
  • Firm Bank Accounts
  • Placed Trades
  • Cost Basis maintenance
  • Asset movement
  • Performance Reports
  • RIA Billing
  • Customer Service
  • Hiring and training
  • Interface with Home office on all matters
  • Alternative Investments
  • Account reconciliation

Skills

Skills

FBSI (National Financial system)

Microsoft Outlook

Net Exchange Pro ( Pershing system)

Streetscape ( National Financial system)

Microsoft Word

Microsoft Excel

Certifications

Certifications

Series 7, 24, & 63

FINRA

References

References

Brent Huff

"I was with Mary and Becky yesterday and your name came up.  They are so appreciative of all you do for them. They clearily think you walk on water."  Thank you Mac, I appreciate you making my life easier."

John Busey

"I deposited and then brought in the wrong account for my client. It appeared to present a difficult situation to resolve. I called Mac seeking her direction as to what I needed to do to correct. She took my call and asked how she could make my day better, and then did it! She resolved my problem and called me back within 20 minutes.  I thought it would take days and days to correct WOW!!  What a great teammate to have!"

Charles Nocosia

In reference to Restricted stock

"Thanks for the prompt response and apparently effective intervention. I will keep an eye on the account over the next few days to monitor when the cash will be freed up.  As a matter of  interest, the client e-mailed me this weekend with an asset statement for his elderly father for  whom he wants to turn over all accounts to me. Net worth 1.7 million and lots of discretional annual income still coming in to add.  By helping me me clean up this restricted stock fiasco you may indirectly assist my granering this larger prize. Thanks.'

Neal Schulte

"Mac does not mess around.  She knows what to do and gets the job done. Thanks Mac all your help.

(This was sent to CEO directly)

Dave Davis

"I just wanted to touch base with you and let you know how much of a success we believe Mac's trip to Auburn, CA. We have implemented all of her suggestions and look forward to a more streamlined ,efficent and profitable office. The ideas that Mac presented were definetely much more effictive in person rather than trying to articulate needs and wants over the telephone.  Her hands on approach was energetic and contagious. Thanks for taking the time oft of a very busy schedule to lend a helping hand."

James Mathias

"I just wanted you to know that we had a satisfying experience working with you and your staff. Our office has very little expertise dealing with Pershing and I did not know were to turn for assistance with a 990-T form that was incorrectly generated for our client. My discussion with you the day before you left for vacation assured me that I was in good hands. Even thought I was unable to provide the documentation on this account until the following day your staff filled in for you admirably. I recieved a call on the next business day confirming the request was passed on to Pershing. 3 days later the correction was made.  I am relived the clients is pleased and now we ill wait for Pershing and the IRS to complete the paperwork.  Thank you and your staff"

Mark Ross

(sent directly to CEO)

"Thanks for all your help over the past 2 years. We really appreciate the team approach and wanted to reconize Mac Johnson for all her special efforts that she has made to our program.  Our goal is to grow the top line revenues!"

Ruth Burgess

"Mac made my life easier by using good thinking she was able to prevent an account of Wade W. from being sold out. This saved Wade client and I did not have to deal with it.  Thanks Mac."