Chacy Hawthorne
Tampa,FL
Summary
A result driven, detailed, goal-oriented professional with expertise in compliance, risk mitigation, policies & procedures, sales & marketing, and project management. Exceptional at forecasting impacts of business unit changes that will influence policies, technology advancements, employee productivity, and client engagement. Known for being self-motivated, independent, and spearheading diversity initiatives.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Sr. Risk Analyst Manager
Charles Schwab
Tampa, FL
01.2018 - Current
- Ensured compliance with industry regulations and mitigated risks by writing policies and creating content
- Conduct User Acceptance Testing (UAT) to validate system controls are functioning as intended
- Recommended and facilitated the implementation of a technology enhancement aimed at tracking and monitoring of third-party mailing to ensure compliance with Chicago Board Options Exchange rule 9.14, thereby effectively averting a potential $2M FINRA audit finding
- Successfully orchestrated a company-wide initiative within the institutional sector, aligning leadership business titles to meet industry standards
- Enhanced business efficiencies through meticulous effort, while vetting and updating financial approval limits for fund transfers and trading activities.
- Performed in-depth evaluations of processes resulting in notable exception approvals, with an emphasis on addressing tasks outside the typical scope of business operations. This initiative resulted in a significant ~70% adoption rate of proposed policy changes.
Move Money Infrastructure Senior Specialist
Charles Schwab
Orlando, FL
01.2014 - 01.2018
- Maintain written policies and procedures for the Move Money Operations line of business. Design training content, facilitate training for Offshore professionals, and perform testing for technology releases
- Played a pivotal role in the move money wires platform transition by spearheading the creation of the Wires Redesign track, resulting in streamlined wire processing, implementation of straight-through processing, and significant reduction in processing delays
- Organized and facilitated monthly policy consistency meetings with leaders from different business units to ensure uniformity in money transfer processes, resulting in enhanced operational efficiencies and reduced error margins.
- Collaborated with team to develop and launch Check Deposit Automation (CDA) platform, improving speed and convenience of check deposits.
- Analyzed existing processes with Offshore professionals leading to expanded offshore capabilities, thereby creating capacity for internal resources to better serve financial advisors, reducing task completion times, and optimizing Offshore professionals' contributions. An innovative approach to change the workflow reduced multiple work case touches therefore created labor equivalent savings of ~ $1M annually.
AS Offshore Support
Charles Schwab
Orlando, FL
01.2009 - 01.2014
- Manage offshore professionals across various business units
- Designed an Access Database to measure and track Offshore professionals' productivity
- This presented opportunities to determine training and coaching needs
- Accuracy percentage for the Offshore groups consistently increased within 99.5% range.
Sales & Marketing Lead
Sprint PCS
Maitland, FL
01.1999 - 01.2005
- Marketing of products and services to elite clientele to increase client experience
- As a top 10% customer service sales professional piloted a program to market products and services to specialized clients
- The success led to the introduction of a new line of business creating exclusive offers and forging an improved upsell structure
- Maintain customer accounts and make product recommendations or services based on their needs and preferences.
Education
Information Technology Analysis -
Seminole State College
Orlando, FLSkills
- Problem Solving
- Workflow Analysis
- Compliance of Regulations
- Effective communicator
- Technology
- Risk mitigation strategies
- Project Management
- User Acceptance Testing
- Data Mapping
- Business process improvement
Certification
- FINRA Security License 7 and 63.
- Certified Gallup Strengths Coach
- MS Excel Advance Certification
Affiliations
- National Chair of BPACS Employee Resource Group
Accomplishments
- Chairman's Club Award 2008
- Q2 2022 Risk ICON Award
- 7-year recipient of Key Contributor Award
References
References available upon request.
Timeline
Sr. Risk Analyst Manager
Charles Schwab
01.2018 - Current
Move Money Infrastructure Senior Specialist
Charles Schwab
01.2014 - 01.2018
AS Offshore Support
Charles Schwab
01.2009 - 01.2014
Sales & Marketing Lead
Sprint PCS
01.1999 - 01.2005
Information Technology Analysis -
Seminole State College
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