Chuck Earle

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Led multiple teams tasked with providing risk oversight, control, review and approval of more than 1.5 million asset movement and account update transactions annually. Accomplishments: >Built multi-site teams from scratch to establish department >Established international partner team based in Manila, Phillippines >Oversaw control environment leading to multiple consecutive Strong internal audit ratings

Led an organization responsible for responding to Operational/Non – Sales practice complaints, customer inquiries, custom letter requests, asset verifications and routing calls coming into the Home Office of Wells Fargo Advisors. >Assumed role when department was experiencing 400% increase over historical norms. Created a steady state within 6 months and reduced outstanding complaint volume from 3,500 down to 700. >Guided department through successful external audits by FINRA, SEC and other regulatory agencies.

> Led project to rewrite Policies and Procedures for the entire Client and Executive Services Department > Created an on-boarding process and training manual for various roles where none existed previously > Established a robust audit process for review of all aspects of client complaint handling process. This resulted in an increase in accuracy of data entry and adherence to regulatory requirements. > Responsible for departmental response to outside audits from FINRA and other regulatory bodies > Serve as member of the FINRA Complaint Initiative Committee

> Managed team handling nearly 4,000 operational client complaints annually > Managed department to more than $1 million in risk mitigation savings through negotiated settlements > Developed and transitioned department to new complaint handling process due to corporate merger and senior management expectations > Established stronger customer service guidelines to improve complaint response times > New training opportunities for existing associates, such as a bimonthly book review and a writing class to foster personal and departmental development

Chosen to start up an elite service team handling issues escalated to the Chief Operating Officer and President of Wachovia Securities, LLC by high net-worth clients and/or high profile Financial Advisors > Designed and maintained aggressive departmental Service Level Agreements to increase client satisfaction and loyalty. > Challenged policy limitations in order to improve client service and efficiency > Delivered concise Executive Summaries of completed cases for senior executives > Produced client correspondence when necessary > Formalized data tracking system for case management > Performed presentations for executives including Chief Operating Officer