Alexis Orfanos
Urbandale,IA
Summary
Product Manager with 10+ years of experience delivering enterprise platforms, regulatory-compliant solutions, and digital tools in financial services. Proven success driving large-scale product strategies, leading cross-functional agile teams, and shaping customer-centric digital experiences. Skilled in defining multi-year roadmaps, managing complex product portfolios, and aligning senior leadership, engineering, and compliance stakeholders to deliver sustainable business outcomes.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Senior Risk and Control Associate
Edward Jones
04.2025 - Current
- Inspired 50+ people across 5 teams to design and implement effective controls that mitigate operational, compliance, and regulatory risks.
- Saved 30+ hours across 10 business areas after developing and managing a new Conflicts of Interest (COI) attestation process for Wealth Management Shared Services. Enabled faster completion of COI revisions and approvals from management.
- Steered 10 business areas in completing annual requirements ahead of schedule, meeting deadline for completing Business Continuity Plan for Wealth Management Shared Services.
- Led Continuous Improvement initiatives that optimized over 50% of existing risk assessment processes and procedures
- Supported regulatory compliance and risk requirements and internal audits by managing documentation and stakeholder coordination
Digital Product Owner II
Edward Jones
08.2022 - 04.2025
- Led the enterprise rollout of MoneyGuide financial planning tool, optimizing data integrations and user workflows to boost initial advisor adoption to 40% and reduce proposal creation time by 20% all while creating client documents that were 100% accurate and compliant.
- Achieved 100% SLA compliance by triaging and resolving top-priority client and branch issues across MoneyGuide, Salesforce, and the proposal tool within a 48-hour turnaround, while prioritizing critical fixes and enhancements into the product backlog.
- Increased advisor adoption of MoneyGuide by 25% by partnering with service teams and stakeholders to identify key user pain points, translating insights into prioritized backlog items that improved usability and workflow efficiency.
- Partnered with cross-functional teams across Product, Technology, and Field Enablement to plan and execute the enterprise-wide rollout of Salesforce CRM; streamlining lead management, client data, pipeline tracking and client engagement processes. Achieved 90% adoption within six months and reduced manual data entry by 40%.
- Managed, groomed, and prioritized the product backlog, proactively removing roadblocks and mitigating risks to keep delivery on schedule.
- Led PI Planning sessions and implemented Scrum and Kanban practices, improving sprint predictability and delivery cadence.
- Directed 10+ developers in an Agile environment, translating business needs into actionable user stories and drove timely, high quality releases.
- Delivered high-priority features on schedule, with 100% compliance through continuous updates to proposal and regulatory documentation.
Product Manager – Compliance & Communication
Principal Financial Group
12.2015 - 08.2022
- Owned the product strategy and roadmap for the firm’s enterprise communication supervision platform, ensuring secure, compliant capture and review of all regulated electronic communication.
- Cut flag rates from 70% to 5% across millions of messages, reducing false positives in flagged communications by 65% and saving all Registered Principals 5+ hours per week when completing reviews of flagged messages. Reviewed and advised compliance stakeholders on vendor tool technical architecture and configurations to maximize flagging accuracy.
- Realized 100% adherence to FINRA and SEC requirements, guaranteeing electronic communications were properly captured, retained, and supervised within enterprise archiving platform.
- Led vendor evaluations, proof-of-concepts, and implementation for multiple 3rd-party supervision tools, aligning business requirements with technical feasibility and compliance and regulatory standards (FINRA, SEC).
- Defined and tracked KPIs around flagging accuracy, system stability, and user adoption; used metrics to guide iteration and communicate progress to leadership.
- Partnered with Legal and Risk during FINRA/SEC audits, managing documentation and communication to ensure transparency and zero audit findings.
- Led testing and documentation of multiple enterprise-wide solutions related to electronic communication, ensuring seamless deployment and compliance alignment.
- Coordinated efforts across three vendors, 20+ stakeholders, and multiple engineering teams to deliver compliant, scalable solutions on time and within scope.
Sales Support Coordinator
Principal Financial Group
06.2013 - 12.2015
- Tested and validated new technologies and systems before rollout, guiding smooth deployment and reducing post-launch issues.
- Delivered technology training to 500+ Principal Financial registered representatives on platforms—Netx360, Laser App, Albridge Wealth Reporting, Morningstar Advisor Workstation—to improve advisor and office efficiency.
- Conducted on-site presentations and one-on-one training sessions across multiple Principal offices, supporting 100+ registered reps and improving technology utilization rates.
- Elevated technology use rates 30% across 75+ offices, facilitating training sessions for 500+ registered representatives. Scheduled and presented virtual trainings and web conferences to scale training availability as well as delivering in-person trainings at branches across the US.
- Slashed reporting errors 25% and improved advisor and customer experiences across thousands of accounts by researching and resolving complex Albridge data reporting issues, which led to 15% increase in sales of Albridge Wealth Reporting
Broker Dealer Counselor III/Department Trainer
Principal Financial Group
01.2008 - 06.2013
- Researched and managed trading account processes in alignment with Principal Securities and FINRA regulations, ensuring 100% of compliance requirements were being met.
- Performed Registered Principal reviews and quality checks on new accounts and compliance forms, leveraging Series 7, 66, and 24 licenses to maintain adherence to industry standards.
- Supervised brokerage trade desk operations and compliance reports as a Series 24 Registered Principal, driving timely resolution of exceptions and ensuring regulatory compliance in a rapidly evolving environment.
Education
Bachelors Degree - Business Administration with a Financial Management Emphasis
Graceland University
Des Moines, IA01.2006
Skills
- Product Management: Backlog management, roadmap execution, feature delivery, PI Planning, release management, customer experience, user experience, product strategy
- Regulatory & Compliance: Securities regulations, FINRA/SEC licenses, risk management, audit support, financial and risk governance, operational compliance
- Technology: Microsoft Office Suite, network applications, JIRA, Confluence, SharePoint, SQL, Agile, Scrum, Kanban, CRM tools, trading platforms, Power BI
- Analytical & Problem-Solving: Data analysis, process improvement, troubleshooting, root cause resolution
- Leadership & Collaboration: Team leadership, cross-functional collaboration, stakeholder engagement, training & development, vendor management
- Communication & Presentation: Executive reporting, presentation delivery, interpersonal communication, client support
Certification
- Series 7
- Series 24
- Series 66
Timeline
Senior Risk and Control Associate
Edward Jones
04.2025 - Current
Digital Product Owner II
Edward Jones
08.2022 - 04.2025
Product Manager – Compliance & Communication
Principal Financial Group
12.2015 - 08.2022
Sales Support Coordinator
Principal Financial Group
06.2013 - 12.2015
Broker Dealer Counselor III/Department Trainer
Principal Financial Group
01.2008 - 06.2013
Bachelors Degree - Business Administration with a Financial Management Emphasis
Graceland University