Marco Artigas

Jaime Mantilla

Citicorp Investment Services

How do CIS operations workCiticorp Investment Services - Interaction Model

Back OfficeMiddle OfficeDelivery ChannelsCustomers

Investment Services- Quotes and Trading- Account and Market Info- Inquiries- Problem Resolution

Redirect

Investment Advice- CitiPro- Mutual Funds- UIT- Annuities

- Inquiries- Instructions

Sales Referrals

- Inquiries

Investment Services- Quotes and Trading- Account and Market Info

Investment Services- Quotes and Trading- Account and Market Info

Inquiries

Inquiries

Customers

E-BrokerageIVR

CitibankOnline

Financial ExecutivesCiti Financial Centers

Cititrade

Citibank Settlement

CGMI(Clearing)

CIS Call Center

CIS CentralizedBranch Operations

Trades

FundingInstructions

Trades

Inquiries

SettlementInstructions

CIS Call Center Model

Financial Executives New York City(Primary)

San Antonio, TX(Backup)

FE Sales Ops Support (SOS)

FE Account Opening (AOD)

- Trading- Account Inquiry- Problem Resolution- Service

- Account Opening- Account Maintenance

FinancialExecutive?

- Overflow- Non-business hours (EST)

Yes,FE

Customers

San Antonio, TX(CBOL Primary)

Redirect

Client Direct Servicing

- FE Referral- Trading- Service- Account Inquiry- Problem Resolution

No, Customer

FE Sales Ops Support (SOS)

FE Account Openting (AOD)

- Trading- Account Inquiry- Problem Resolution- Service

- Account Opening- Account Maintenance

FinancialExecutive

?

Yes,FE

Client Direct Servicing

- FE Referral- Trading- Service- Account Inquiry- Problem Resolution

No,Customer

Centralized Bank OperationsClient documents

Caso Imaging System

AOM-Account Opening and Maintenance

All account opening and demographic information Processing

Annuities Processing

All annuities applications

ACATS Processing

All outgoing external securities transfer requests

Investigations

All client complaints and disputes

Call Center

Order RoomDCA Plans

Compliance

LegalAll reportable client complaints

Client Inquiry

All account opening and demographic information Processing

Recommendations and Suggestions

Call Center efficiency and utilization Emphasize trading calls and transfer inquiries to

lower cost channels. Differentiate Clients at the Call Center Level to

maximize client satisfaction.

CIS Branch Operations At the Central Branch Level improve processing

efficiencies by identifying service bottlenecks.

Positioning Revaluate FE compensation structure. Use CBOL to acquire more client direct customers.