Ashley Thomas
Largo,FL
Summary
Reliable business professional with experience in project management, process improvement and financial analysis. Proven track record of successfully streamlining business operations and reducing costs. Adept at analyzing data to identify trends and developing strategies to improve efficiency.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Senior Advisor
Raymond James
07.2022 - Current
- Conduct testing activities such as researching applicable ADVs, disclosures, rules, regulations, and firm policies/procedures; conducting key stakeholder interviews; performing test execution; identifying issues; producing final reports; finalizing test issues and action plans; reporting test results to management; and identifying areas for improvement while adhering to methodology and taking risk-based approach
- Collaborate with leadership, key stakeholders, and business units to recommend policies, processes, and/or control updates and enhancements
- Build and present process flow charts for all advisory tests through utilization of Visio
- Build out of Business Profile for RJFSA to allow for high-level overview of division
- Conduct test pilot for Planning Memo tool to build out and allow for more cohesive overview and flow through testing process
- Ongoing participation in Networking/Mentoring opportunities to build strong relationships throughout firm (WIN, Emerge, Encore, Second Lines)
- Participated in Emerging Leaders Program through Global Compliance to continue to develop and strengthen leadership skills
- Developed and implemented weekly team update tool to ensure effective coordination and updates occur within advisory team.
New Accounts Supervisor
Raymond James
08.2018 - 07.2022
- Managed team of direct reports (10-25 local, cross-site, and remote)
- Actively monitored QlikView Dashboards, trends, KPIs, SLAs, etc
- For direct reports/specialty teams while utilizing coaching skills to drive associate development and proactively plan for long-term career growth
- Effectively led and managed recruiting for department by partnering with management across all sites, HR, and Service Delivery to recruit, hire, and maintain headcount
- Partnered with VP on Annual Budget through Longview, managed associate engagement budget, and assisted in year-end bonus/salary process
- Developed, managed, and transitioned successful specialty teams within department
- Reports/Audit Team
- Worked as project lead for audit/reports project with Operations Risk Management by facilitating meetings and holding key stakeholders accountable for their deliverables
- Developed process efficiencies that allowed for decrease in total department FTE need of 11 to 5 and completed automation project that allowed for additional reduction in overall FTE needed for reports
- Partnered with ORM and Senior Leaders to develop, implement, and maintain controls matrix within \department to be set up for successful audits
- Assisted in development and implementation of report attestation tool with process analyst to store data in centralized location and create efficiency
- Entity/Foreign Team
- Maintained Daily SLAs within team while managing KPIs
- Participated in International Strategy Project across Operations by providing detailed information for process/procedures for New Accounts and impact on branch/client experience in order for firm to look for potential process improvement ideas
- Participated in monthly AML & Cross Border meetings as NA Management
- Rep
- To discuss any procedure/process changes and how to better collaborate
- Helped develop and implement Foreign Training for team in order to successfully cross-train and expand within department
- Established and maintained monthly touch points with procedure team to stay on top of regulation and procedure changes
- Developed process efficiencies for Service Center that allowed for elimination of several Specialist Queues
- Handled high-level Entity and Foreign Escalations from branches, internal departments, and senior-level management
- Helped develop procedures to pilot IKNOW for Entity/Foreign Pilot, later rolling out across all departments and building out for operations
- SWAT Team
- Assisted in building out concept of SWAT Team to help meet and reduce SLAs within department by analyzing impact in overtime to SLAs and discussing any important updates, trends, or opportunities for team.
Private Banker, Assistant Vice President
Wells Fargo
07.2015 - 08.2018
Registered Personal Banker I, II
Wells Fargo
08.2011 - 07.2015
Customer Service and Sales Representative
Wells Fargo
01.2011 - 08.2011
Teller/Lead Teller
Wells Fargo
05.2009 - 01.2011
Education
BA - Accounting & Finance
University of South Florida
St. Petersburg, Florida2011
AA Certification - undefined
St. Petersburg College
St. Petersburg, Florida2008
Skills
- Leadership
- Project Management
- Critical Thinking
- Adaptability
- Collaborative
- Communication
- Problem-Solving
- Attention to Detail
Affiliations
Women's Inclusion Network Events Committee
PACE Ambassador
Certification
Series 6
Series 7
Series 63
Timeline
Senior Advisor
Raymond James
07.2022 - Current
New Accounts Supervisor
Raymond James
08.2018 - 07.2022
Private Banker, Assistant Vice President
Wells Fargo
07.2015 - 08.2018
Registered Personal Banker I, II
Wells Fargo
08.2011 - 07.2015
Customer Service and Sales Representative
Wells Fargo
01.2011 - 08.2011
Teller/Lead Teller
Wells Fargo
05.2009 - 01.2011
BA - Accounting & Finance
University of South Florida
AA Certification - undefined
St. Petersburg College