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.
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
Similar Profiles
Ericka SawyerEricka Sawyer
Onboarding Specialist at Equity Trust CompanyOnboarding Specialist at Equity Trust Company
Bold.pro uses cookies as well as our third-party affiliates. When you use our website, you understand that we collect personal data to improve your experience. Learn more