Courtney Paul

Managed IT operations, employee onboarding and offboarding, and technical support across firm-wide business functions. Recognized sustained performance, leadership capability, and readiness to assume expanded operational and compliance responsibilities.

• Managed IT operations, technical infrastructure, and lifecycle onboarding/offboarding projects across enterprise functions, ensuring 100% operational business continuity.
• Designated as Lead Project Manager for a planned enterprise CRM transformation; led scope definition, resource planning, stakeholder alignment, workflow architecture, and risk assessment prior to restructuring.
• Directed regulatory risk mitigation, compliance escalation frameworks, FINRA/SEC filings, and multi-departmental audit coordination across the organization.
• Steered enterprise operations through an 8-month executive leadership transition, maintaining project milestones, governance standards, and full regulatory compliance with zero incidents.

Earned executive recognition for resolving longstanding compliance system issues, eliminating outstanding compliance issues, and enhancing operational performance through collaboration with executive leadership and third-party vendors.

• Re-engineered core operational workflows through process automation, reducing processing time by 66% (from 60 to 20 hours/week) and significantly accelerating delivery cycles.
• Managed the end-to-end migration of the firm's Learning Management System (LMS), including legacy content conversion, resource deployment, and archive strategy, reducing vendor costs by $30,000+.
• Authored a comprehensive, 150-page Business Continuity & Standard Operating Procedures (SOP) framework to standardize technical processes, ensure knowledge transfer, and de-risk operations.
• Standardized 100–150 SEC disclosure supplements by creating scalable project templates and rebuilding legacy tracking systems to ensure quality, compliance, and audit readiness.
• Overseeing cross-functional project deliverables for a high-stakes Broker-Dealer transition, coordinating IT security, regulatory filings, and representative onboarding schedules.
• Directed compliance efforts during an 8-month executive transition, supervised team members, managed stakeholder communications, and maintained uninterrupted operations with 0 compliance incidents.
• Streamlined SEC audit readiness workflows by introducing centralized regulatory documentation frameworks, tracking trade errors, and managing advisor disclosures.

Enhanced enterprise digital transformation by integrating SharePoint document migration with scalable CRM workflow design, streamlining client documentation, employee onboarding, state licensing, and document accessibility during firm's CRM modernization.

• Engaged with large-scale enterprise SharePoint migration project, successfully transitioning hundreds of confidential client records ahead of schedule while improving data accessibility across remote teams.
• Designed and deployed standardized CRM workflows, custom dashboards, and reporting mechanisms to align operations across multiple regional offices (Chicago, Virginia, and Philadelphia).
• Orchestrated cross-functional onboarding and licensing project pipelines in collaboration with Compliance, Finance, Operations, and Executive Leadership.
• Managed high-volume documentation lifecycles, establishing strict quality control standards for SEC record-retention compliance.
• Onboarded, mentored, and trained new Operations staff, designing structured training workflows and documentation to accelerate team ramp-up time.