Antonietta Scialabba
Matawan,NJ
Summary
Results driven operations and compliance professional with 30 years of experience in the financial services industry. Skilled in analysis, leading project teams, project implementations, and strategic planning. Strong expertise in understanding operational processes, regulatory rules, and business objectives to integrate needs into technology platforms. Effective communicator with excellent prioritization and multitasking abilities.
Overview
31
31
years of professional experience
1
1
Certification
Work History
Vice President, Project Management & Business Transformation
Grove Point Financial, LLC / Atria Wealth Management
Rockville , MD
2019.02 - Current
- Effectively led cross-organizational teams in planning, coordinating, and executing strategic and technology initiatives to achieve operational and service excellence.
- Facilitated business initiative outcomes and influenced solution implementation through analysis, gathering and reviewing stakeholder information.
- Collected and analyzed information, interviewed subject matter experts, observed operations to develop solutions to specific problems using knowledge of business systems and processes
- Supporting change management initiatives at the organizational level while actively identifying and addressing resistance to change.
- Effectively led project execution from start to finish by overseeing key activities like concept development, documenting business requirements, initiating kickoff meetings, defining project scope, organizing user acceptance testing and training sessions,and ensuring successful product launch.
- Ensured the creation and maintenance of project schedules, milestones, budgets, and resource documentation
- Managed execution of various projects such as converting client and account data from one vendor to another, transitioning legacy advisory assets onto new platforms, and migrating single sign-on configurations across different holding companies.
Director, Operations Control
Hornor, Townsend & Kent, Inc.
Horsham , PA
2014.01 - 2019.02
- Managed and supervised daily operations of Ops Control and Compensation departments
- Developed, modified and maintained operational procedures and internal controls for on-boarding new accounts, account changes, system access for users, and commission payment process for advisors.
- Managed vendor relationships for external partners: FIS, Albridge, RegEd, and acted as the main point of contact for all system enhancements, projects, issues, and production support.
- Prepared detailed reports on broker dealer accounts and transactions for submission to FINRA and other regulatory bodies.
- Assumed responsibility as system administrator for implementation of new account and transaction suitability rules.
- Coordinated rule parameters with business stakeholders, provided requirements to vendor, and conducted testing for production implementation
- Released multiple system implementations to automate processes, improve advisor experience, and comply with new regulatory guidelines.
- Utilized systems such as HTK Hub, Albridge Wealth Reporting 2.0, and Albridge PDF Capture to enhance efficiency.
- Managed all projects requiring system changes and new implementations as the primary liaison.
- Gathered business requirements from stakeholders, coordinated projects with vendors, conducted testing, updated forms and created training materials.
Consultant
Penn Mutual
Horsham , PA
2013.08 - 2013.12
- Assisted in the development, design and workflow of a broker dealer system for on-boarding new accounts, recording checks and securities and perform trade suitability review called the HTK Hub
- Acted as main point of contact with vendor regarding any questions, issues or requirement changes
- Assisted with the development and testing of system rules involving new accounts and suitability review of trades
- Developed and implemented training materials for home office and field supervision specialist.
Assistant Vice President, Compliance Systems Support
AIG Advisor Group
New York , NY
2008.10 - 2013.05
- Responsible for development, implementation and management of compliance systems related to regulatory and supervisory requirements
- Performed risk analysis and provided recommendations to CCO's and senior business stakeholders
- Successfully led a team of five associates in executing daily operations for two support teams while ensuring adherence to budgetary guidelines, policies, procedures, and employee development.
- Managed vendor relationships and corporate accounts, handling contract negotiation, implementation, and billing.
- Evaluated third party software applications for strategic integration opportunities by conducting cost and feature analysis
- Implemented business program solutions for account opening, client letters, trade review, and trade rules. Customized on-boarding and branch audit modules to enhance efficiency. Conducted firm element compliance training and developed questionnaires. Managed data aggregation, email hosting, archiving, and encryption as well as social media archiving.
- Led project that researched, prioritized, and implemented system enhancements, resulting in a streamlined workflow and improved end-user experience
- Liaised between Compliance, Supervision, Operations, Licensing, Marketing, Business Development and Education and Training departments.
- Experienced handling data feeds and system interfaces from various platforms including DST, DTCC, Albridge, Pershing, FIS/SunGard, RegEd, AdvisorMail and SalesForce.
Vice President Education and Training and VISION 2020
Royal Alliance Associates, Inc.
New York , NY
2007.07 - 2008.10
- Conducted data analysis, developed systems and tested compliance related projects
- Developed and implemented a comprehensive training program for financial advisors, creating engaging training content.
- Trained and supervised a team responsible for technology support of applications used by financial advisors.
Assistant Vice President Brokerage Services and VISION2020
Royal Alliance Associates, Inc.
1999.01 - 2007.07
- Managed operational departments including Compensation, Investment Advisory, Royal Court service team
- Established and implemented department procedures and provided statistical reports to management
- Oversight of the daily operations of technology support team for various web-based applications.
Supervisor Brokerage Services
1998.01 - 1999.01
- Managed the implementation of a service team 'Royal Court' dedicated to the top 100 financial producers
- And created monthly departmental management reports
- Collaborated with other functional business areas to provide end to end customer service.
Brokerage Services Representative
Royal Alliance Assoc
New York , NY
1996.04 - 1997.12
- Handled inbound calls from financial advisors, addressing inquiries on customer accounts and facilitating various transactions such as wire transfers, fund redemptions, and ACAT transfers.
- Transitioned new advisors into the Broker Dealer, ensuring seamless onboarding process and timely completion of transfers, while providing assistance with licensing and appointments.
Broker-Dealer Services Representative
AllianceBernstein
New York , NY
1994.02 - 1996.03
- Researched and corrected trade errors for mutual fund transactions
- Provided administrative support for the marketing unit of a Broker Dealer.
Education
Bachelor of Arts - Marketing
Seton Hall University
South Orange, NJ1991-05
Skills
- Process Improvement
- Data Analysis
- Customer Service
- Operations Management
- Documentation And Reporting
- Decision-Making
- Critical Thinking
- Complex Problem-Solving
- Project Management
Certification
- FINRA Series 99, Series 6
Timeline
Vice President, Project Management & Business Transformation
Grove Point Financial, LLC / Atria Wealth Management
2019.02 - Current
Director, Operations Control
Hornor, Townsend & Kent, Inc.
2014.01 - 2019.02
Consultant
Penn Mutual
2013.08 - 2013.12
Assistant Vice President, Compliance Systems Support
AIG Advisor Group
2008.10 - 2013.05
Vice President Education and Training and VISION 2020
Royal Alliance Associates, Inc.
2007.07 - 2008.10
Assistant Vice President Brokerage Services and VISION2020
Royal Alliance Associates, Inc.
1999.01 - 2007.07
Supervisor Brokerage Services
1998.01 - 1999.01
Brokerage Services Representative
Royal Alliance Assoc
1996.04 - 1997.12
Broker-Dealer Services Representative
AllianceBernstein
1994.02 - 1996.03
Bachelor of Arts - Marketing
Seton Hall University
- FINRA Series 99, Series 6
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