Kate Mogg
Westlake Village
Summary
Dedicated and innovative Market Client Experience Director with 20 years of financial services experience looking for the next challenge with an Onboarding focus. Achieves a consistently high performance by utilizing a network of peers and home office stakeholders, volunteering feedback on efficiency and improvements, and problem solving for complex client service needs.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Market Client Experience Director
UBS Financial Services
03.2023 - Current
- Subject Matter Expert among Client Experience Directors on Account Opening and Maintenance partnering with process/platform teams to provide feedback and enhancements with the field
- Lead special project partnership with Client Experience/BAMLO to improve front office response for Enhanced Due Diligence Onboarding cases
- Provide Best Practices and Enhanced Guidance on Source of Wealth to Domestic markets direct to field
- Represent the voice of the field for Greater California/Nevada market to make it easier to do business
- Act as intermediary between Field and Home Office to drive consistent communication and education on enhancements and tools making it easier
- Drive proactive resolutions of client challenges and escalations from Greater California/Nevada market
- Own market metrics to determine trends and opportunities to drive improved service culture
Senior Registered Client Service Associate, Authorized Officer
UBS Financial Services Inc.
04.2011 - 03.2023
- Oversaw and developed a team of Team Associates for Team Associate Centralization group for the Greater California/Nevada Market (previously Greater Los Angeles)
- Support the market as Coach by on-boarding and developing new team associates
- Participated in Chat Assist initiatives by recording UBS On Air and2 Minute video promoting the use of Chat Assist
- Support Firm initiatives by volunteering for pilot of One Time Passcode, Digital Readiness, New Hire Training
- Manage all operational and sales support to3 financial advisors with revenue over $3 million
- Recommended updates to UBS forms, platforms, and training for improved client service through use of Aspire and contacting Field & Market Leaders
Senior Registered Client Service Associate
Morgan Stanley
04.2004 - 04.2011
- Dedicated operational and sales support for various financial advisors
- Serve as the initial point of client contact
- Expertise in opening managed portfolio accounts
- Acted as primary trainer and Coach for new Client Service Associates
Operations Manager
Morgan Stanley
04.2004 - 04.2011
- Line manager for all Client Service Associates, Operations Associates, and Interns in branch
- Maintained relationships with Human Resources in process of hiring and terminating employees
- Point person for escalation of client issues and complaints
- Approved and monitored daily operational reports and advised advisors and associates as necessary
- Oversaw branch audits
Branch Managers Assistant/Client Service Associate
Morgan Stanley
04.2004 - 04.2011
- Assisted Branch Manager, Sales Manager, and 2 Financial Advisors with client and branch support
- Processed new hires and terminations
- First point of contact for meetings with management
- Liaison between branch employees and managers
- Assisted Operations Manager in daily operational tasks
Education
B.A. - Political Science, Minor Public Policy
U.C.L.A.
Los Angeles, CA12.2001
Skills
Skilled with UBS ACE, CRM, Docusign, CAI, Microsoft Office Suite including Teams, Power Point, Outlook, Word, and Excel
Accomplishments
- COO Thrive Class 2023-2024-including rotation with BAMLO Onboarding
- Inaugural 2021 UBS Elevate class as top1% performer across Global Wealth Management
- Service Excellence Award in June 2019
- Co-Chair of Team Associate Advisory Council-2022
- Member of All Bar None Policy Committee-2022
Certification
Series 7, Series 66, Series 31
Timeline
Market Client Experience Director
UBS Financial Services
03.2023 - Current
Senior Registered Client Service Associate, Authorized Officer
UBS Financial Services Inc.
04.2011 - 03.2023
Operations Manager
Morgan Stanley
04.2004 - 04.2011
Branch Managers Assistant/Client Service Associate
Morgan Stanley
04.2004 - 04.2011
Senior Registered Client Service Associate
Morgan Stanley
04.2004 - 04.2011
Series 7, Series 66, Series 31
B.A. - Political Science, Minor Public Policy
U.C.L.A.
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