Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

LINDSAY BUCHHOLZER

NORTH ROYALTON

Summary

With several years of experience in service, operations, professional development and process improvement, I am looking to obtain a position where I can contribute to the growth and success of an organization.

Overview

19
19
years of professional experience
1
1
Certification

Work History

Director of Operations

Equity Trust Company Brokerage Services, LLC
Westlake, OH
11.2021 - Current
  • Oversee day-to-day production activities in accordance with business objectives
  • Oversee successful implementation of operational strategies and policies to drive organizational growth and productivity
  • Developed systems and procedures to improve operational quality and team efficiency
  • Collaborate with senior management to develop and execute long-term corporate goals and objectives, including self-clearing initiatives
  • Analyzed business operations and implemented strategies to improve operational cohesiveness
  • Monitored budget and utilized operational resources
  • Achieved team goals through formalized training plans, coaching, and performance management
  • Mentored and coached team members to foster productive and engaging work environment
  • Defined, implemented, and revised operational policies and guidelines, initiating the process of taking a Trust Operations business model to a Self-Clearing Broker-Dealer business model
  • Analyzed customer feedback and identified areas for improvement to drive business success
  • Recruited, hired, and trained initial personnel, working to establish key internal functions and outline scope of positions for new organization

Senior Manager, Operations

Equity Trust Company/Equity Advisor Solutions
01.2020 - 11.2021
  • Oversaw a team of Operations Specialists that process the establishment of new investment accounts, facilitate transferring assets between financial custodians, apply incoming cash deposits and income payments, assist in the purchase and maintenance of Alternative Investments, and distribute client funds, as requested
  • Responsible for the hiring, coaching, training, and professional development of the Operations team, specifically dedicated to supporting Registered Independent Advisors and Broker Dealers
  • Responsible for data management and oversight of tax reporting, both in qualified and non-qualified investment account types
  • Ensured daily metrics and service level agreements are being met to maintain client satisfaction
  • Participated in monthly and quarterly audits, both internal and external
  • Consistently worked on process and procedural improvements, both to create efficiencies for the team as well we keep in line with industry standards
  • Responsible for the daily oversight and approval of large cash transactions
  • Consistently worked on process and procedural improvements, both to create efficiencies for the team as well we keep in line with industry standards, improving overall client experiences
  • Actively worked to improve streamlining of processing and reporting on Alternative Investment assets
  • Conducted daily research and strategizing for problem resolution on complex client issues.

Manager, Strategic Accounts

Equity Advisor Solutions
05.2016 - 01.2020
  • Oversaw a team of Relationship Managers that provided customized service to Registered Independent Advisors and Broker Dealers
  • Addressed escalated client issues to provide problem resolution, seeking short term and long term process improvements
  • Created and developed internal and external training programs for new hires and clients
  • Collaborated with the Operations team to identify areas for processing and forms improvements, specific to transfer of assets between custodians
  • Thoroughly involved in the review and oversight of annual tax documents to ensure accurate reporting, both on qualified and non-qualified investment account types
  • Oversaw and resolved any trade-related issues to ensure trades were successfully executed and risk mitigation was implemented
  • Coordinated and executed successful onboarding of new RIA and Broker Dealer Relationships
  • Organized and executed call campaigns and surveys with existing relationship to identify opportunities for improvement and growth
  • Supported the build of front-end client technology that created transparency into processing statuses.

Manager (Multiple Departments)

Curian Capital, LLC
03.2005 - 04.2016
  • Various roles within Curian Capital, LLC: Resolution & Email Correspondence Manager (2012-2016), Private Advisor Services Manager (2011-2012), Transition Specialist Manager (2008-2016), Client Services Specialist (2005-2008)
  • Starting as a client services specialist in the call center, primary responsibilities included answering questions and researching problem resolution for financial advisors and clients utilizing the third party asset management platform
  • Development of knowledge and expertise grew into starting the Curian Capital Transition Team, traveling to advisors who were looking to transfer his/her book of business to the Curian platform
  • After three years of executing multi-million dollar transitions, created, built and implemented the Private Advisor Services program for top-tier firms
  • During this role, managed a team of individuals that serviced these top-tier firms and continued building a successful high-quality service support team
  • From building the Transition Team (onboarding) and Private Advisor Services Team, was promoted into a Resolution Support Role
  • The Resolution Support Role was created to build and implement a custom service team that addressed Not In Good Order (NIGO) requests and written, email correspondence, seeking opportunities to improve overall efficiencies and client communication.
  • Served multiple roles that supported overall Service and Operations growth, internally and externally, training Financial Advisors & their staff. This resulted in increased profitability, maintaining client satisfaction, and creating efficient business practices

Education

Bachelor of Arts - Communications Management

University of Dayton
Dayton, OH
01.2004

Skills

  • Process Improvement
  • Leadership Training
  • Risk Mitigation
  • Strategic Planning
  • Operations Oversight
  • Quality Assurance
  • Customer Retention
  • Employee Development
  • Customer Service Management
  • Revenue Generation
  • Decision-Making
  • Business Growth Initiatives

Certification

SIE Certification

SERIES 6 License

Timeline

Director of Operations

Equity Trust Company Brokerage Services, LLC
11.2021 - Current

Senior Manager, Operations

Equity Trust Company/Equity Advisor Solutions
01.2020 - 11.2021

Manager, Strategic Accounts

Equity Advisor Solutions
05.2016 - 01.2020

Manager (Multiple Departments)

Curian Capital, LLC
03.2005 - 04.2016

Bachelor of Arts - Communications Management

University of Dayton

SIE Certification

SERIES 6 License

LINDSAY BUCHHOLZER
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