Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
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Catherine Tafel

Summary

Experienced leader with strong background in guiding teams, managing complex projects, and achieving strategic objectives. Excels in developing efficient processes, ensuring high standards, and aligning efforts with organizational goals. Known for collaborative approach and commitment to excellence.

Overview

15
15
years of professional experience
4
4
Certification

Work History

SPS SR Operations Manager

Charles Schwab
03.2007 - 06.2022
  • Oversaw workforce management planning, volume predictions and capacity planning.
  • Built strong relationships with key stakeholders through consistent engagement, collaboration, and transparent communication practices.
  • Managed employee-related issues encompassing labor, turnover and diversity.
  • Collaborated with cross-functional teams for seamless execution of large-scale initiatives and continuous improvement efforts.
  • Increased team productivity, providing ongoing training, coaching, and performance feedback to staff members.
  • Boosted team member productivity by enhancing performance monitoring and instituting motivational approaches.
  • Spearheaded process improvements to reduce errors and increase overall quality in operations management.
  • Ensured regulatory compliance across all aspects of operations by staying current on industry standards while implementing necessary policies or procedures accordingly.
  • Boosted employee retention rates through the development of a positive work culture, fostering teamwork, open communication, and professional growth opportunities.
  • Oversaw staff and sub-contractor performance review assessments.
  • Prepared documents for internal and external audits.
  • Managed complex projects from concept to completion, ensuring on-time delivery within budget constraints.
  • Provided leadership for continual management and employee training initiatives.
  • Improved operational efficiency by streamlining processes and implementing innovative strategies.
  • Developed comprehensive risk management plans to mitigate potential threats to organizational stability and growth.
  • Served as a trusted advisor to senior leadership on matters related to operational performance, strategic planning, and organizational development.
  • Championed change management initiatives to facilitate the successful adoption of new technologies or processes within the organization.
  • Ensured compliance with industry regulations and standards, conducting regular audits and implementing necessary changes to operations procedures.
  • Enhanced team productivity with implementation of new project management software, facilitating better communication and project tracking.
  • Oversaw successful integration of cutting-edge technology into daily operations, enhancing efficiency and productivity.
  • Facilitated culture of continuous improvement, encouraging feedback and innovative ideas from all levels of organization.
  • Developed risk management strategy to proactively identify and mitigate potential issues, ensuring smooth operations.
  • Led cross-functional teams to launch new product lines, directly contributing to increase in market share.
  • Trained and guided team members to maintain high productivity and performance metrics.
  • Assisted in recruiting, hiring and training of team members.
  • Scheduled employees for shifts, taking into account customer traffic and employee strengths.
  • Reported issues to higher management with great detail.
  • Monitored daily cash discrepancies, working with many different departments to ensure accuracy in reporting.


Operations Control Senior Specialist

Charles Schwab
03.2007 - 06.2022


  • Placed and approved aftermarket trades.
  • Audited accounts for compliance and reconciled general ledger discrepancies.
  • Provided risk analysis for file and transmission issues.
  • Opened and approved new account, account updates and various operational transactions.
  • Assisted with quality assurance and audit program development.
  • Conducted research using mainframe databases to identify risk areas. risk analysis for file and transmission issues.
  • Opened and approved new account, account updates and various operational transactions.
  • Assisted with quality assurance and audit program development.
  • Conducted research using mainframe databases to identify risk areas.
  • Implemented quality control measures, maintaining high standards across all operations functions.
  • Worked with upper management in managing budgets effectively, securing necessary resources while minimizing costs associated with various operation departments.
  • Communicated with Branch Operations Manager to inform of quality control checks and findings.

Operations Control Segregation Lending Specialist

Charles Schwab
03.2007 - 06.2022
  • Implemented risk mitigation strategies during stock loan evaluation processes, safeguarding the institution''s interests and minimizing potential penalties.
  • Ensured compliance with FINRA regulations in segregation lending.
  • Worked with business units to verify stock lending accuracy.
  • Partnered with audit teams to address new regulatory requirements.
  • Investigated and resolved file and transmission discrepancies.
  • Maintained timely and accurate reporting.

Schwab One and Banking Operations Team Lead

Charles Schwab
03.2008 - 06.2022
  • Managed complex projects with multiple deadlines, ensuring all objectives were met successfully.
  • Trained new employees on company policies, procedures, and best practices to facilitate their rapid integration into the team.
  • Maintained high levels of employee morale through effective communication, recognition, and coaching initiatives.
  • Led a team of professionals to achieve project goals on time and within budget constraints.
  • Collaborated closely with other departments to streamline interdepartmental communication and improve overall organizational cohesion.
  • Implemented quality control measures to reduce errors and ensure consistent standards across all operations tasks.
  • Coordinated cross-functional teams, fostering collaboration and ensuring timely completion of projects.
  • Identified areas for improvement in operations, leading to cost savings and increased productivity.
  • Championed continuous improvement initiatives within the team, promoting a culture of innovation and excellence in operations management.
  • Educated staff on organizational mission and goals to help employees achieve success.
  • Conducted regular reviews of operations and identified areas for improvement.
  • Managed and coordinated with offshore teams to maintain accuracy and timeliness

Education

High School Diploma -

Smoky Hill
Aurora, CO
05-1999

Skills

  • Operations management
  • Process optimization and improvement
  • Documentation
  • Cross-functional coordination
  • Project planning

Accomplishments

  • Collaborated with team multiple teams in the development of onboarding of international clients to open accounts online.
  • Used Microsoft Excel to develop inventory tracking spreadsheets.

Certification

  • Series 7/66
  • Series 9/10

Timeline

Schwab One and Banking Operations Team Lead

Charles Schwab
03.2008 - 06.2022

SPS SR Operations Manager

Charles Schwab
03.2007 - 06.2022

Operations Control Senior Specialist

Charles Schwab
03.2007 - 06.2022

Operations Control Segregation Lending Specialist

Charles Schwab
03.2007 - 06.2022

High School Diploma -

Smoky Hill

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Catherine Tafel