Aaron Caplice, CEBS

Client Relationship Manager @ TIAA

About

I’m a seasoned financial services professional with 20+ years of experience driving institutional sales, portfolio strategy, and client engagement across complex financial ecosystems. My career spans relationship management, compliance analytics, and technical innovation — all focused on delivering measurable impact for clients and stakeholders. At TIAA and Accenture, I’ve led initiatives that improved audit accuracy, compressed manual workflows, and enhanced client satisfaction. I specialize in translating financial data into actionable insights, automating reporting processes, and enabling sales teams with the tools they need to grow assets under management. Licensed (Series 7/6/63) and certified (CEBS, CRPS®), I bring a consultative mindset, technical fluency, and a passion for continuous improvement. Whether managing $1B+ books of business or building Python applications to streamline compliance, I thrive at the intersection of strategy, service, and technology. Let’s connect if you’re looking for someone who can bridge client needs with data-driven solutions — and drive growth through trust, clarity, and execution.

Country

United States

City

Charlotte Metro

Industry

Financial Services

Skill

Business Relationship Management, Client Services Management, Client Relations, Retail Brokerage, Securities License, Brokerage, Investment Brokerage, Communication, Direct Sales, Cross-Selling, Artificial Intelligence (AI), Python (Programming Language), Series 7, Mutual Funds, Investments, Retirement, Retirement Planning, Series 63, Wealth Management, Relationship Management

Experience

Client Relationship Manager

TIAA

2026-6 - Present · 4 mos

Charlotte, NC

Business & Tech Innovation Specialist

Accenture

2024-12 - 2026-6 · 1 yr 7 mos

Charlotte Metro

• Retained post-outsourcing of TIAA recordkeeping services; continue to support TIAA as a strategic client. • Serve as SME for institutional plan remediation and audit initiatives, aligning technical execution with client-facing outcomes. • Support sales enablement by improving data accuracy and delivery speed for regulatory communications and client reporting.

Senior System Analyst

TIAA

2022-5 - 2024-12 · 2 yrs 8 mos

Charlotte Metro

• Developed Python-based automation tool that reduced audit prep time from 4 hours to 30 minutes, improving accuracy to 99%. • Enabled faster turnaround on client requests and regulatory communications, supporting retention and reducing reputational risk. • Delivered cost savings and capacity gains that allowed redeployment of resources toward client-facing initiatives.

Plan Compliance Analyst, Institutional Services

TIAA

2013-6 - 2022-6 · 9 yrs 1 mo

Charlotte Metro

• Produced actionable insights from fund accounting and plan compliance data, contributing to a client satisfaction score of 10/10. • Streamlined reporting workflows and reduced processing time by 10%, improving responsiveness to client inquiries. • Mentored internal teams on compliance best practices, enhancing service delivery and reinforcing client trust.

Relationship Manager

TIAA

2006-6 - 2013-6 · 7 yrs 1 mo

Charlotte Metro

• Managed institutional client relationships with assets up to $1B, driving growth through strategic engagement and tailored solutions. • Increased premiums by 10% through consultative installation of lifecycle funds and retirement advice platforms. • Delivered customized retirement and insurance strategies that boosted plan participation and expanded AUM.

Registered Representative

TIAA

2004-11 - 2006-7 · 1 yr 9 mos

Charlotte Metro

• Delivered customized portfolio reviews to individual investors planning for retirement. • Performed investment suitability reviews, educating investors on annuity income options and overall portfolio diversification while deepening customer relationships. • Prepared lifetime income illustrations, and consulting clients on retirement readiness