Summary
Overview
Work History
Education
Skills
Certification
Awards
Timeline
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KELLY DAVIS

Winston-Salem,NC

Summary

I am a dynamic financial leader with more than 8 years of progressive experience in high-level supervision, strategic operations, and process optimization. I have a proven track record of mentoring teams, ensuring regulatory compliance, and collaborating with senior executives, including Assistant Vice Presidents and management, to implement initiatives that enhance efficiency and mitigate risk. I am skilled in strategic decision-making, financial oversight, and cross-functional collaboration, with a strong commitment to delivering measurable improvements in operational performance.

Overview

7
7
years of professional experience
1
1
Certification

Work History

Sr. Supervisory Principal

LPL Financial
05.2024 - Current
  • Pioneered the supervision team: served as an inaugural team member for LPL Enterprise's supervision team, laying the foundation for a culture of excellence and proactive oversight.
  • Orchestrated meetings with AVPs, senior management, and cross-functional stakeholders to launch initiatives that drove significant operational efficiency improvements, while mentoring new Supervisory Principals to elevate team performance.
  • Optimized training and development: Collaborated with subject matter experts to critically evaluate and revamp training tools, ensuring seamless alignment with the latest business platform and promoting operational agility.
  • Enhanced remote learning: Facilitated the development of innovative e-learning modules and comprehensive user guides, substantially boosting remote learning and empowering teams with on-demand training resources.

Central Supervisory Principal

LPL Financial
04.2021 - 05.2024
  • Regional Engagement Event Coordinator Fall 2024: Spearheaded the planning and execution of a regional engagement event— managing scheduling and logistics to ensure seamless execution and heightened stakeholder engagement.
  • Provided proactive interim supervision by transitioning into an acting leadership role by filling in for both central and regional supervisory positions, maintaining uninterrupted workflow and operational efficiency for advisors.
  • Earned full-time status after exceeding performance expectations in a temporary role, demonstrating exceptional adaptability, commitment, and leadership under pressure.
  • Served as the go-to authority on complex financial products, centralized review processes, and innovative business models—guiding strategic decision-making and bolstering risk management across the organization.


High Net Worth, Senior Associate

Vanguard
08.2020 - 04.2021
  • Achieved top-tier CSAT scores through strategic relationship management, resulting in a measurable increase in customer retention and contributing to a boost in overall client satisfaction.
  • Delivered personalized financial education and guidance: Educated clients on various financial matters and provided professional recommendations on investment opportunities, products, and services based on each client's individual needs.

Regional Supervisory Consultant

Fidelity Investments
09.2018 - 08.2020
  • Optimized operational risk management by spearheading comprehensive analysis of daily transaction logs across 14 teams to uncover critical trends and vulnerabilities. Leveraged data-driven insights to implement targeted process improvements, significantly reducing operational risk and driving measurable enhancements in monthly performance metrics.
  • Designed and deployed robust, in-depth training programs that dramatically reduced errors and bolstered compliance standards across teams. These initiatives not only enhanced technical proficiency but also streamlined operational processes, positioning the team for sustained success.
  • Forged strategic partnerships with leadership buy nurturing high-level relationships with Team Leaders by providing expert guidance and actionable insights. This collaborative approach empowered leaders to adopt best practices and drive continuous performance improvements across their teams.

Help Desk, Client Services

Fidelity Investments
01.2018 - 09.2018
  • Championed the mentorship program for the Help Desk, guiding new team members through targeted training sessions and proactive support initiatives, which elevated technical troubleshooting capabilities and fostered a culture of continuous improvement.
  • Collaborated closely with supervisory leadership to manage and guide a 16-member Client Service team, streamlining communication and operational processes that enhanced team collaboration and customer satisfaction.
  • Engineered and implemented innovative performance enhancement programs to promote continuous improvement across the team, resulting in more efficient processes and increased overall productivity.
  • Acted as a key project team member in crafting and executing strategic activities designed to nurture top-performing traders, leveraging targeted training modules and skill development initiatives to boost trading effectiveness.
  • Served as a go-to resource by expertly resolving associate inquiries on policies, regulations, money movement, and complex trading scenarios, ensuring strict compliance and operational excellence.

Education

MBA -

East Carolina University
Greenville, NC
07-2026

Bachelor of Arts - Drama

University of North Carolina At Asheville
Asheville, NC
05-2008

Skills

  • Cross-functional Collaboration
  • Regulatory compliance
  • Project Management
  • Staff Training
  • Written/interpersonal communication

Certification

  • FINRA Series 7, 63, 66, 09/10
  • LEAN Six-Sigma Yellow Belt
  • Project Management Certification (ECU)

Awards

  • Awarded Fidelity Chairman's Shares for marked contributions to team collaboration and fostering a culture of excellence and continuous improvement.
  • Recognized by senior leadership for process improvement initiatives by being awarded the Rock Solid Award.

Timeline

Sr. Supervisory Principal

LPL Financial
05.2024 - Current

Central Supervisory Principal

LPL Financial
04.2021 - 05.2024

High Net Worth, Senior Associate

Vanguard
08.2020 - 04.2021

Regional Supervisory Consultant

Fidelity Investments
09.2018 - 08.2020

Help Desk, Client Services

Fidelity Investments
01.2018 - 09.2018

MBA -

East Carolina University

Bachelor of Arts - Drama

University of North Carolina At Asheville

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