Monica Farrell

• Lead experienced Operations and Virtual Admin group for largest enterprise at the number one independent broker dealer.
• Lead and influence Financial Advisors and Institutions by supporting operations, onboarding, service, technology and other key areas.
• Partner closely with Business Development and Recruiting to ensure appropriate support for advisors and institutions joining firm.
• Engage Advisors and Institutions by providing trainings on technologies and tools that create office efficiencies and scale.
• Recommend strategies to increase technology implementation and adoption rates.
• Serve as a central operations source for Advisors and Institutions Establish meaningful connections with Advisors, and their support staff to facilitate appropriate service, support and become valuable partner and ally.
• Work with Internal and External teams on continuous improvement initiatives in core areas around SLA’s, metrics,

• Owns Broker/Dealer projects, and relationships, partnering with key stakeholders to achieve business goals and objectives
• Work with stakeholders to generate solutions to business issues and plans/implements solutions
• Able to resolve conflicts and complex issues in cross functional setting
• Handle multiple tasks, incentives, or projects in high stress, fast-paced environment
• Facilitate meeting of peers, enable discussion that leads to resolution and communicate results to management effectively
• Lead delivery of complex programs/projects Leads efforts to develop new or revised processes for business areas
• Develop formal recommendations and presentations for senior management
• Motivate staff and ensure that proper management practices are adhered to by providing ongoing performance and career discussions
• Foster an environment of Diversity and Inclusion Comfortable communicating with all levels of the organization, external vendors, and corporate partners

Agile Coach –

• Trusted facilitator and executive coach that challenges leaders and squad members to adopt new ways of thinking while creating a high performing organization
• Coach all levels of the organization towards agility mindsets and behaviors
• Coach and train leadership, squads and various agile roles towards value and outcome mindset
• Act as a change agent, help leaders and squads adopt new ways of working by both ‘being Agile’ focusing on mind-sets, attitudes and behaviors; and ‘doing Agile’ through adoption of Agile tools and practices
• Deep understanding of the missions of Tribes and Squads, helps implement Agile practices to fulfill their missions and create value for our customers
• Stand up Equitable Academy which will build agile coaching capability, driving thought leadership to promote and ingrain Agile ways of working
• Confidently work with Product Owners and squad members to remove roadblocks and barriers that hinder NWOW and innovation in order to unlock their full potential while building an environment of trust
• Develop coherent ways of working across squads and organizational levels
• Focus on performance and squad maturity metrics which enable ongoing tracking and growth of squad operating in agile
• Focus on building operating model interfaces between agile and non-agile parts of the organization
• Effective ambassador for agile mindsets and practices (e.g., Scrum, Kanban, Lean, etc.), including OKRs, Design Thinking, Adaptive Leadership

Lead Operations Manager

• Direct report to COO and partner on all Broker Dealer initiatives
• Lead a team of operations professionals, providing coaching and mentoring for career advancement
• Oversight of WSPs, SOPs, Metrics, SLAs, quality assurance, projects, system upgrades, policy changes etc
• Create performance goals for team, conduct performance reviews, provide disciplinary resolve
• Mentor and motivate staff, set team and personal goals, conduct performance reviews
• Lead Continuous Improvement projects
• Liaison for the relationship with LPL (clearing services)
• Participate in Legal, Compliance, Relationship meetings and initiatives
• Responsible for overall strategic workflow of Operations
• Responsible for handling of escalations, research, client complaints and strategic initiatives
• Provide support, training, and development to staff

• Lead a team of cross functional, mid-level management professionals
• Coach, develop and grow employees to meet full potential
• Create departmental goals, conduct performance reviews, provide disciplinary resolve, budgeting, salary, and bonus planning
• Promote a team culture, enthusiastic leader
• Ensure all organizational objectives are being met
• Ability to influence senior leaders/ clear and concise communication
• Program and Platform development
• Provide Advisors with product gap analysis to ensure all appropriate products are being leveraged to suit client’s needs
• Identify gaps in practice or policies that might impact the Advisor’s business
• Cultivated excellent long-term relationships with business partners, maintain constant communication via phone or email and facilitating solutions to address concerns
• Responsible for building out the Transition Services support model on the MassMutual platform from beginning stages
• Defined rules of engagement, service model qualifiers, support model
• Create solutions to support advisors
• Identify opportunities to increase advisor satisfaction/ promote sales growth
• Developed business requirements, trained employees, and support business partners
• Extensive knowledge of broker dealer operations, account opening requirements, on platform and direct products and brokerage/advisory product suite
• Oversight of the day-to-day operations within the Transition Group including meeting benchmarks/field commitments and training/mentorship for members of the team
• Ensuring associates adhere to business, compliance, and regulatory requirements for functions responsible
• Key liaison and face of Broker Dealer when working with on-boarding, recruiting firm, Product managers and Legal to analyze producer’s book of business in-order to recommend appropriate level of transition team support
• Develop and execute business/project plan
• Manage relationship with 42 field agencies
• Present at conferences, host on site meetings with General Agents, attend recruiting meetings to discuss Sales Value Proposition of MMLIS
• Responsible for creating strategy, growth, retention, and meaningful relationships through the actions of an engaged team
• Deliver presentations to Senior Executives and General Agents as it pertains to Transition support
• Skilled and experienced in engaging in high-level strategic discussions with both advisors and executive team

• Key partner on RFP (conversion of, Securities clearing platform from Pershing to National Financial.)
• Managed Product Suite and Relationship with Pershing
• Working knowledge of Advisory business as well as functionality of managed platform
• Understanding of proprietary technology platforms that support both Advisory business and Clearing and Custody operations
• Attended all conferences on behalf of MetLife Broker Dealer
• Work closely with Legal, Compliance, Technology, Training, Sales and Marketing to support and promote products
• Provided product gap analysis to ensure MetLife was utilizing all products beneficial to our advisor and client’s needs
• Managed multiple projects with IT and Business partners while maintaining day to day responsibilities
• Negotiate contracts with external product/service providers
• Presentations to C level management on Clearing platform initiatives
• Responsible for ensuring SLAs are met or exceeded
• Stream-line billing, client reporting, program mergers, improving system productivity
• Partnered on creating product training, writing product/program manuals, and solving complex issues

• Provided updates to all business partners on a regular basis
• Conducted initial interview, review book of business, identify any gaps in selling agreements and develop a comprehensive transition plan
• Write macros used in book of business assessments
• Acted as advisor's single point of contact and oversee the transfer of their book of business and integration to MBDG
• Established a comprehensive training program & business plan for proprietary/non-proprietary systems, sales tools, products, and programs
• Provided guidance on the broker-dealer application process, including paperwork requirements, processing applications, and business/compliance requirements
• Project Management, prioritize tasks, identify key stakeholders
• Serve as a liaison for internal departments, Operations, Call Center, Legal, Marketing, Finance, Compliance
• Knowledge of Financial Advisor’s practice and the challenges faced
• Extensive knowledge of financial industry, client segment, product, and end customer experience
• Anticipate the needs of the Advisor/Agency in order to define next steps or red flags during transition
• Solid understanding of Operational Policies, Subject Matter Expert on BD Operations

• Confirmed quality and completion of all requests processed within brokerage services, including ACAT, Non-ACAT, Internal transfers, Mutual Fund transfers, Out Going Transfers, Journal Authorizations, Contributions, Distributions, ACH requests, Cost Basis requests
• Managed movement of monies via Federal Fund Wires, check disbursements, ACAT, non-ACAT
• Performed Account Maintenance and Coding on Brokerage accounts as requested by end client
• Researched IRA distributions, contributions, Federal Fund Wires
• Monitored work in progress to ensure transfers were completed within agreed upon service level

• Managed the purchase of shares for Qualified Retirement plans
• Coordinated (open market/original issuance) buys for 60+ companies as called for by plan prospectus
• Prepared trades, priced buys according to trade confirmation and allocated shares to client account accordingly
• Reconciled buys according to dollars spent versus shares allocated
• Extensive written and verbal communication with clients as well as Relationship Manager on all buy related issues

• Processed and monitored full ACAT transfers being received by the firm
• Performed quality checks on all accounts for transferability and ensured credit policy was met
• Monitored incoming ACATs for non-deliverable positions