Daniel Johnson

PCG Client Reporting / IT Client Reporting

Senior Associate Analyst 08/09/2021- Present

My current designation is a Senior Associate Analyst in the Client Reporting Department at Raymond James. This work requires patience and paying close attention to detail. My primary function is providing IT support for the numerous applications which Client Reporting supports. A few examples of these applications are Performance Reporting, Opportunities, Alerts Portal, and the Proposal application. I am also responsible for reviewing client information and maintaining the performance data for client accounts. One of my key responsibilities is reviewing and compiling data to provide Compliance approved reports for review. The Financial Advisors are then able to present these reports to their clients. This data is composed of activity within client accounts and relationships. My main goals are accuracy and ensuring the information is up to date with current market trends. I work closely with Financial Advisors and other professionals to ensure the data is accurate. In addition to analyzing performance, I also help create customized performance reports for Financial Advisors to show their clients. These reports are composed of graphs, charts, and other key data points to show how the accounts are performing, based on the current financial market trends. These reports allow the Financial Advisors to provide reasons to show their clients how they are benefitting, due to investing with Raymond James. It also provides the Financial Advisor a more a granular review of their investment strategies. These reports show current trends, gains and loss data, investment strategies and over all activity.

Key Accomplishments:

• Point of contact for Branch personnel and internal associates for researching performance issues.

• Providing excellent customer service for the various applications the PCG Tech Group supports.

• Maintaining daily functions such as workflow emails, phone shifts and time sensitive reports.

• Ensuring accuracy to provide clients with the most comprehensive account information.

Operations Quality Control /Training Specialist, 10/2017 – 08/06/2021

As the Quality Control Specialist for the Account Transfers department, my primary responsibility was verifying compliance within the department, thus ensuring the efficiency and accuracy of our work. I also assisted with associate training and development for both current and new associates. Additionally, I was a liaison between Financial Advisors and the department for escalated issues. Due to my knowledge and understanding I have been classified as a SME/ Subject Matter Expert. I have a detailed knowledge of each desk in Account Transfers. I have also worked hard to develop departmental contacts, both inside and outside Operations, to learn more about the firm and to better assist clients.

Key Accomplishments:

• First point of contact for training and development of new associates.

• Utilized as a department Subject Matter Expert for research and associate coverage

• Managed quality control within the department, ensuring accuracy by providing exceptional service.

• First point of contact for client escalations and management to resolve issues with a positive outcome.

• Provided consistent technical support for the department, managing all hardware initiatives, and troubleshooting for staff. I assisted with both in office and at home technical assistance during the pandemic. I was deemed an essential worker and was allowed to go into the office. I assisted associates within my department and other departments during this difficult time by helping them maintain their computers, setting up work from home alternatives and general technical support.

• Developed relationships with representatives from both Raymond James and external firms.

• Worked directly with the ODET training team to facilitate training for all of Operations. The ODET team is responsible for the introductory training of every new Raymond James associate. Trainers who demonstrate exceptional skill are asked to assist with this training as a way introducing new associates to the Raymond James community and each individual department within the firm.

• Worked directly with Raymond James branches to facilitate multi-million-dollar transfers into the firm for high value clients. These requests must be handled delicately and precisely to ensure the client has the best possible introductory experience with the firm.

Account Transfers: Transfer Associate, 09/2013 – 10/2017

Acted as main liaison for a range of stakeholders including internal executives, investment managers, brokers, and banks in the daily execution of mutual funds and stock administration responsibilities.

Key Accomplishments:

• Managed the daily review of fund transfers to ensure ongoing accuracy and efficiency of operations.

• Facilitated ongoing client management, ensuring compliance with legal and regulatory requirements.

• Established a strong working knowledge of industry standards and market trends.

• Client relations manager.
• Responsible for opening and closing the store.
• Balanced the check outs before closing.
• Managed the checkers and front end associates.

• Worked as a meat cutter / butcher at the Schnucks Grocery store chain.
• Client relations.
• Daily packaging quota.
• Responsible for keeping shelves fully stocked, clean and organized.
• Ordered supplies and maintained inventory.