Brandon Smith

Scaled firm from 12 to 40 employees, increasing AUM from $120M to nearly $400M.

• Led transition to Salesforce CRM with custom implementation for financial services workflows.
• Rebuilt reporting systems in Excel to enhance advisor KPIs and marketing funnel metrics.
• Revamped hiring process by introducing structured interviews and one-way video screenings.
• Oversaw regulatory compliance by conducting mock SEC audits and managing ADV updates.
• Implemented firm-wide employee benefits package, including health, dental, and vision plans.
• Enhanced internal processes across client service, operations, and IT while maintaining firm culture.
• Led data analysis efforts and partnered with other firm leaders to shape and execute strategic business initiatives.

• Managed a team of 10 responsible for resolving all international complaints, escalations, and trade disputes for Morgan Stanley's Workplace Solutions Group.
• Established efficient complaint handling policies by observing team dynamics, incorporating feedback, and collaborating with key business partners.
• Fostered collaboration across departments through recurring meetings and accountability for deadlines.
• Presented monthly performance reports to senior leadership, highlighting trends and departmental statistics.

• Managed a team of 20 responsible for client outreach and notifications for Morgan Stanley.
• Enhanced team efficiency by collaborating with individual members to identify process pain points.
• Established strong professional relationships with direct reports, fostering trust and goal achievement.

• Evaluated account transactions and new account documents from Morgan Stanley Financial Advisor branches to verify adherence to firm and regulatory policies

• Rotational program within different divisions of the Client Service Center including additional program specific projects and excel training courses