John Carroll

Experience

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  TD Ameritrade

  Nov 2006 - Sept 2008

  - Initiated client contact and conducted rigorous Know Your Client (KYC) analyses to assess the suitabilityof investment in proprietary model portfolios and exchange-traded funds (ETFs).- Enrolled clients with assets totaling at least $250,000 in accounts managed by a network of third-partyregistered investment advisors, fostering strategic partnerships.- Recognized as a recipient of the Service Star Award for proactively identifying and reporting potentialsuspicious activity in violation of the Company's anti-money laundering policy. Show less

  • Wealth Management Consultant

    Jan 2008 - Sept 2008

  • Client Experience Specialist & Financial Transactions Coordinator

    Nov 2006 - Jan 2008
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  E*TRADE Financial

  Sept 2008 - Jul 2009

  Client Advisor & Financial Services Specialist

  - Collaborated within a high-performing call center team, providing comprehensive assistance to high-net-worth clients with assets totaling at least $250,000.- Expertly guided clients in executing trades, transferring assets, and resolving account disputes,ensuring seamless and satisfactory resolution of issues.- Delivered personalized guidance to clients on the features and privileges of their accounts, includingthe documentation necessary to effect augmentations.

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  Georgeson Shareholder

  Jan 2010 - Dec 2023

  - Orchestrated the management of applications and modules responsible for capturing and mappinginvestment schedules (Form 13F filings) of approximately 10,000 voting managers, constituting theshareholder bases for the Company's portfolio of nearly 300 clients.- Analyzed multiple data sets to produce key deliverables, including investor summaries, shareholdercompositions, vote projections, and provide vote identification for 70 clients annually; 16 of which are S&P 500 constituents. Notably, one client represented roughly 20% of Georgeson US revenue.- Spearheaded collaboration with developers to implement employee platform module enhancements,culminating in a reduction of up to 90% in production time for critical deliverables.- Formulated comprehensive procedure manual and checklists for creating investor summaries,a fundamental deliverable for all client work, and adeptly trained six new employees to proficientlyproduce them.- Collaborated across operational units to develop and maintain the Georgeson New York office's Business Continuity Plan (BCP), ensuring safe and seamless resumption of business activities amidst various disaster scenarios.- Demonstrated leadership by assuming the role of acting manager during the absence of theincumbent, efficiently managing work orders, delegating tasks to team members, and maintaining workschedules.- Cultivated relationships with professional societies and data vendors, ensuring proper operation ofservices and products, and timely payment of all accounts and dues. Show less

  • Data Operations Manager & Institutional Investment Analyst

    Mar 2010 - Dec 2023

  • Shareholder Engagement Specialist & Corporate Actions Advisor

    Jan 2010 - Mar 2010
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  Climatebase

  May 2023 - Jul 2023

  Climatebase Fellow

  Participated in Cohort 3 of the Climatebase Fellowship

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  EvergreenEERS

  Sept 2024 - Dec 2024

  Extern for EvergreenEERS via Rutgers MBS Externship Exchange - Researcher and Group Co-Leader

  - The project was one of research and software development within the solar power industry. I served as the Co-Leader of the project, spearheading research and communicating with sponsor representatives to get guidance on project scope and specifications.- Used my experience in conducting data gathering and management projects to advise other group members on next steps.- Researched data sets to be used as basis for project and communicated with data owners when necessary to gain access to their data sets. Show less