James Garcia
Warwick,RI
Summary
Diligent, empathic, passionate, and energetic leader. Over sixteen years of sales, leadership, strategy execution, project implementation, and brokerage operational experience within the financial industry. Results-driven professional with experience in leading organizations, driving initiatives, and achieving outstanding results. Proven track record of success in developing and implementing innovative strategies to drive organizational enhancement, improve client experience and increase efficiency. Skilled in creating collaborative, inclusive, and positive working environments and leveraging the strengths of individual team members.
Currently leveraging those skills to motivate and inspire high school students as a Business Teacher at Bishop Hendricken High School. Focusing on daily progression and development of the students with the expectation of continuous growth and improvement.
Overview
18
18
years of professional experience
1
1
Certification
Work History
High School Business Teacher
Bishop Hendricken High School
05.2024 - Current
- Currently teach college preparatory courses in Financial Literacy, Introduction to Business, Accounting, Portfolio Management, Sales and Marketing, and Economics
- Planned lessons to reflect group and individual student needs utilizing creative instruction to teach various aspects of business and the financial industry
- Adapted teaching strategies to remain inclusive to multiple learning styles
- Implemented problem and project-based learning initiatives throughout each semester
- Established and maintained professional relationships with students, staff, parents and community members
- Produced engaging lesson plans and activities to help students master learning objectives
- Developed and implemented variety of instructional strategies to meet diverse needs of students
- Enhanced academic programs with innovative methodologies and collaboration
Vice President; Operations Strategy Group Manager
Citizens Wealth Management Group
09.2022 - 09.2023
- Identified opportunities to improve business process flows, processes, and productivity
- Monitored key business risks and established risk management procedures
- Analyzed industry trends and tracked competitor activities to inform decision making
- Formulated and executed strategic initiatives to improve product offerings and operational processes
- Established and maintained strong relationships with customers, vendors and strategic partners
- Increased company growth through collaboration with sales and marketing departments
- Collaborated with senior management to develop strategic initiatives and long term goals
- Demonstrated proficient leadership skills to motivate employees and build competent teams
Vice President; Operations Middle Office Manager
Citizens Wealth Management Group
09.2020 - 09.2022
- Team was responsible for issue and escalation resolution for the firm for internal advisors and external clients
- Partnered with all various stakeholders and business lines to resolve issues
- Led cross-functional initiatives to drive increased client satisfaction and loyalty
- Implemented corrective action plans to solve organizational and departmental problems
- Responsible for creation of team, as well as developing and supervision of team tasked with issue and problem resolution for Citizens Wealth
Vice President; Strategy and Improvement Manager
Citizens Wealth Management Group
06.2019 - 09.2022
- Partnered with colleagues across Compliance & Legal, Sales, Supervision, Risk, and Quality Assurance to ensure all operational requirements and standards from a firm and regulatory standpoint were met
- Responsible for design and implementation of organization's operational strategy Lead project manager for various scope projects and initiatives with impacts across the organization pertaining to enhancing the client experience, improving associate productivity, and enhancing operational efficiency
- Primarily focused on transforming Operations organization to enhance financial advisor, client, and associate experiences
- Provided leadership in developing corporate vision, mission, values, and culture
- Directed strategic planning efforts that enabled the organization to achieve its short-term goals while positioning itself for long-term success
- Developed and implemented innovative strategies to improve operational performance and increase profitability
Vice President; Client Relationship Segment Mgr.
Merrill Lynch
01.2016 - 05.2019
- Responsible for the sales performance, hiring, and development of proactive licensed team of virtual advisors
- Accountable for strategy implementation, coaching, and supervisory aspects for direct team in terms of prospecting, client satisfaction, conversion and retention, asset acquisition, and limited guidance delivery
- Provided leadership in developing corporate vision, mission, values, and culture
- Directed the planning and execution of new projects
Vice President; Retirement Helpdesk Segment Mgr.
Merrill Lynch
12.2013 - 01.2016
- Extensive experience as Relationship Manager with both Individual Account and 401k Plans
- Created, developed, and managed licensed team of virtual financial advisors capable of carrying out the necessary sales and service initiatives in accordance with division goals and business needs
- Executed on several projects designed to improve the overall sales process and operational efficiency for the segment
- Served as Retirement / IRA / IRS Publication 590 Trainer as well as other firm initiatives
- Oversaw the development of long-term goals, objectives, policies, procedures, and systems
AVP; Retirement Helpdesk Team Lead
Merrill Lynch
07.2011 - 12.2013
- Responsible for the day-to-day productivity and supervisory aspects for a team of licensed representatives who resolved client issues and service-related questions
- Handled all service-related escalations / issues from firm's client base, specifically those pertaining to retirement issues
- Worked as head trainer and subject matter expert for segment
- Designed and implemented internal controls to ensure compliance with applicable laws and regulations
Officer / Senior Investment Specialist
Merrill Lynch
01.2007 - 07.2011
- Responsible for executing securities transactions initiated by firm's clients
- Worked as Head of the Block Trade Desk as an Equity and Bond Trader
- Worked on Options Desk as Lead Trader
- Fielded inbound trade and service calls from internal partners and external clients
- Was responsible for assisting in project of developing new online client portal and experience
- Enforced corporate policies and procedures while ensuring compliance with applicable laws and regulations
- Demonstrated leadership skills in leading a team of officers to complete objectives
Chairman of the Board
Warwick Travel Basketball
09.2018 - Current
- Oversee Travel Basketball program for City of Warwick under the Warwick PAL umbrella
- Have coached various Travel basketball teams to Rhode Island State Championships and New England Championships
Middle School Boys Basketball Coach
Warwick Public Schools
09.2024 - Current
- Established and maintained standards of athlete behavior, providing proper supervision of athletes
- Enforced discipline and sportsmanlike behavior and imposed penalties for breach of such standards by individual students
- Conducted post-game analysis sessions with players in order to review successes and mistakes made during competition
- Organized and managed team practices to maximize player development opportunities
Skills and League Director
Higher Learning Basketball
07.2018 - Current
- Lead various basketball camps and basketball skill clinics
- Organize and lead youth basketball leagues
Middle School Girls Basketball Coach
Warwick Public Schools
09.2023 - 09.2024
- Promoted good sportsmanship with competing teams on- and off-field
- Developed and implemented effective training and skills development strategies to improve overall team performance.
- Monitored athletes during events and practice to quickly identify injuries
- Acted as positive role model for team participants and in community
- Evaluated individual knowledge, skills, and strengths, and assigned team positions to maximize talent areas
Education
MBA - Business Management
University of Rhode Island
Kingston, RI01-2011
Bachelor of Science - Business Administration And Management
University of Rhode Island
Kingston, RI01-2006
Certification
- FINRA Series 7 License
- FINRA Series 9 License
- FINRA Series 10 License
- FINRA Series 24 License
- FINRA Series 63 License
- FINRA Series 65 License
- FINRA Series 99 License
Timeline
Middle School Boys Basketball Coach
Warwick Public Schools
09.2024 - Current
High School Business Teacher
Bishop Hendricken High School
05.2024 - Current
Middle School Girls Basketball Coach
Warwick Public Schools
09.2023 - 09.2024
Vice President; Operations Strategy Group Manager
Citizens Wealth Management Group
09.2022 - 09.2023
Vice President; Operations Middle Office Manager
Citizens Wealth Management Group
09.2020 - 09.2022
Vice President; Strategy and Improvement Manager
Citizens Wealth Management Group
06.2019 - 09.2022
Chairman of the Board
Warwick Travel Basketball
09.2018 - Current
Skills and League Director
Higher Learning Basketball
07.2018 - Current
Vice President; Client Relationship Segment Mgr.
Merrill Lynch
01.2016 - 05.2019
Vice President; Retirement Helpdesk Segment Mgr.
Merrill Lynch
12.2013 - 01.2016
AVP; Retirement Helpdesk Team Lead
Merrill Lynch
07.2011 - 12.2013
Officer / Senior Investment Specialist
Merrill Lynch
01.2007 - 07.2011
MBA - Business Management
University of Rhode Island
Bachelor of Science - Business Administration And Management
University of Rhode Island
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