AMBER R. GOETZ
Summary
Creative problem-solving and forward-thinking leader with 16 years of experience in the independent broker/dealer space, dedicated to applying exceptional planning and problem-solving abilities toward enhancing day-to-day activities and future initiatives. Process and results driven; resilient in developing teams while improving processes, increasing productivity, and reaching goals. Bringing solid understanding of industry trends, excellent communication skills, talent for spotting areas in need of improvement and implementing changes with strategic approach.
Seasoned transition leader focused on managing with care, competency, and urgency to preserve and protect advisors' livelihood and advisor-client relationships.
Overview
16
16
years of professional experience
Work History
Director of Transitions
Prospera Financial Services
2021.01 - Current
- Oversee operations and provide corrective feedback to achieve daily and long-term goals
- Monitor workflow and administrative processes to keep operations running smoothly and efficiently
- Monitor and coordinate workload to optimize resources to help expedite transitioning of accounts for advisors
- Report issues and propose resolutions to senior leadership
- Implement quality control measures and deploy service recovery when needed
- Analyze transition successes, opportunities, and feedback for continuous improvement and enhanced experiences for future advisors
Director of Virtual Assistant Program
Prospera Financial Services
2021.01 - Current
- Maintain a balance of workload for team members in order to provide high level of customer service
- Promote the program to new and existing advisors
- Coordinate the assignment of assistants to new enrollees
- Analyzed pricing structure to create competitive offering to advisors while maintaining revenue for the firm
- Implemented technology and resources to support team and create program efficiencies
- Developed a service desk model to provide on-demand support for advisors
Transition and Operations Manager
Lion Street Financial
2016.09 - 2021.01
- Strategized and implemented a transition plan that best met the needs of the advisors and their clients
- Balanced multiple complex projects concurrently while adhering to timelines and deadlines through a proven organization system
- Monitored and reported on the progress of the transition, including account transfers, and followed up routinely and frequently
- Developed and improved workflows and processes to achieve scalability and higher levels of accuracy
- Evaluated and selected technology platforms that provided a competitive advantage in the marketplace and permitted growth for both advisors and the firm
- Maintained interdepartmental collaboration to create a consistent and uniform presence
- Oversaw the operations team and improved processes as needed to help create efficiencies
Senior Training and Transition Specialist
Williams Financial Group
2008.01 - 2016.09
- Analyzed advisors' books of business to convey new account documentation requirements
- Facilitated movement of accounts and assets by generating hundreds of new account packets over a short period of time
- Designed and implemented custom advisor and administrative training programs
- Executed in-person and virtual procedural and operational training and consultations for new and existing advisors and their staff
- Refined system infrastructures, performed usability tests, and improved system functionality to ensure a positive experience for advisors and colleagues
- Built corporate forms while adhering to branding standards and consistent language and formatting
Education
M.Ed - Instructional Technology
Texas Tech University
Lubbock, TX12.2017
Certification in Website Design; Completed over 100 hours in Graphic Design -
Southern Methodist University
Dallas, TX2012
B.S - Psychology
Angelo State University
San Angelo, TX2006
Skills
- Project Management
- Workflow Optimization
- Performance Monitoring
- Process Improvement
- Onboarding and Orientation
- Customer Service
- Document Control
- Legal and Regulatory Compliance
- Issues Resolution
Technical Skills
- Salesforce CRM
- DocuSign eSignature
- Zoom
- Custodian Platforms
- SmartSheet Work Management
- Toggl Time Tracking Software
- Microsoft 365
- SharePoint and OneDrive
- Albridge
- DocuPace
- LaserApp
- FMG Suite
Licenses
- Series 7
- Series 66
- Series 24
Timeline
Director of Transitions
Prospera Financial Services
2021.01 - Current
Director of Virtual Assistant Program
Prospera Financial Services
2021.01 - Current
Transition and Operations Manager
Lion Street Financial
2016.09 - 2021.01
Senior Training and Transition Specialist
Williams Financial Group
2008.01 - 2016.09
M.Ed - Instructional Technology
Texas Tech University
Certification in Website Design; Completed over 100 hours in Graphic Design -
Southern Methodist University
B.S - Psychology
Angelo State University
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