Ingrid Morgan

• Demonstrated proficient leadership skills to motivate employees and build competent teams.
• Hired and managed employees to maximize productivity while training staff on best practices and protocols.
• Clarified roles, responsibilities and expectations of staff.
• Collaborated with senior management to develop strategic initiatives and long term goals.
• Provides leadership and effective oversight to support business function, including forecasting and capacity planning, budget, resource usage, compliance, efficiency, and improvements.
• Oversight of digital client experience and servicing roadmaps in partnership with Product and Technology ensuring business objectives and key results align to product vision.
• Partners with cross-functional stakeholders in Legal, Risk, Compliance, Controls, to lead or support large scale, complex and strategic digital business initiatives ensuring implementation is delivered in a control framework.
• Collaborates with various stakeholders to drive and implement change with identifying opportunities to increase turnaround time of requests submitted by clients, and front office stakeholders.
• Provides internal and external regulatory audit walkthrough for Account Maintenance
• Delivers Monthly Business reviews to Senior Management highlighting accomplishments, metrics new business initiatives & heightened risk items.
• Identifies and nominates top talent and sponsors diverse candidates during talent and performance management process.

⦁ Managed teams of FINRA Series 24 Licensed Principals responsible for onboarding new clients, opening accounts and performing maintenance on brokerage accounts
⦁ YouInvest Launch program, now called Online Investing - Managed onboarding process, post-account opening activities and a service model across Chase Wealth Management, JPMorgan Advisors & Private Bank
⦁ Collaborated with Product, Technology and Client Experience teams to drive the development of online platform, and digital experiences for client self-servicing on chase.com. Account Maintenance achieved ~98% overall STP rate on systemically capable processes within 2 years of application releases, offsetting 14 Headcount.
⦁ Coached and developed professionals and helped them achieve personal and professional goals utilizing Lean-Agile philosophies

• Collaborated with stakeholders to define project objectives and criteria.
• Analyze data of in-place procedures to find ways to improve operations
• Evaluate operations procedures and processes
• Identify deficiencies and areas for improvement and redesign
• Apply statistical analysis, simulations, and predictive modeling to analyze current procedures
• Recommend strategies and develop new procedures
• Implement tests processes, policies, and protocols
• Research market and industry trends and patterns
• Perform operations analysis for all technologies and projects
• Prepare detailed reports of workflow research and improvements
• Compare processes with industry standards and best practices
• Conduct investigative internal audits and create reports of findings
• Created test plan and test scripts for DIY Brokerage Account

• Communicate exceptions to sales representatives and managers, work with them to resolve those exceptions in a timely manner
• Review equity, fixed income, offshore and large dollar trades, mutual fund and managed
• Switch transactions and collaborate with Investment Managers in region
• Review with Supervisory Managers to ensure all transactions submitted by financial advisors are suitable and trade exceptions are handled appropriately and within firm policy
• Identify and document trade exceptions, and work with Supervisory Managers to ensure trade exceptions are handled appropriately and within firm policy
• Ensures Risk Management controls by escalating supervisory issues and provide recommendations as to appropriate actions to be taken by sales management
• Review and approval of 529 College Applications
• Approving Sale Material for field Supervisors
  

• Analyze and approve or reject inbound & outbound quarantined and clean e-mails
• Ensure contents of electronic communications are appropriate with regards to Firm policies
• Monitor for concerning trends and patterns of e-mail communications
• Work with Supervision and Sales management and Compliance to ensure appropriate measures are taken
• Communicate exceptions to Registered Representatives and Supervisory Managers as are encountered through course of reviewing e-mails
• Escalating items to Compliance and senior sales management as necessary
• Periodic distribution of reports to confirm appropriate supervisory reviews of e-mails are being conducted according to Firm policy
• Executed and maintained quality control processes to meet criteria and standards and increase customer satisfaction.
• Analyzed data to identify trends and patterns and exercise strategic decisions.

• Assisted with training of new hires and current employees in new work duties
• Processed over 145 Model Changes and was within service level agreement
• Quality Check trades submitted by Traders and Financial Advisors
• Assisted Broker Service Call center in providing telephone support to Financial Advisors
• Ensured all daily and weekly reports for management are completed in timely manner
• Handled escalated requests from Managers and or Financial Advisors
• Assisted in creating procedures for cease trade log

• Assumed responsibility for four critical floors of hospital
• Participated in recruitment and staff selection process for Housekeeping
• Prepared weekly schedule for staff of 45 employees
• Planned, coordinated and assigned work areas for temporary employees
• Worked with Regional Manager to manage designated areas of hospital
• Attended and participated in departmental staff meetings, development and training courses
• Provided and monitored individual guidance and motivation to employees
• Participated in facility Quality Assurance Program and Patient Satisfaction Program as required