MONICA SHAW
Summary
Results-driven professional with strong analytical and strategic planning skills. Proven track record in driving growth, optimizing operations, and fostering team collaboration to achieve business objectives. Adaptable to evolving challenges and reliable in delivering impactful solutions. Known for excellent communication, leadership, and problem-solving abilities.
Overview
20
20
years of professional experience
Work History
Senior Business Advisor
USAA Federal Savings Bank
10.2004 - 06.2024
- Lead and mentored junior team members, provide guidance and support to project team members in a challenging portfolio program environment
- Build and maintained relationships with clients, stakeholders, and external vendor systems; ensuring it meets compliance and regulatory standards
- Managed user acceptance testing, training, post release validations, and risk mitigation work of the Bank collections agile project team to drive accuracy and transformation for project deliverables.
- Developed a repeatable process plan for end-to-end post-production validation tasks to formalize a cohesive workflow with control measures
- Tracked project deliverables, implementations, identified missed deliverables and operational inefficiencies
- Served as a trusted advisor to executive leadership on matters pertaining to corporate strategy, investment decisions, and risk mitigation efforts.
Investment Business Advisor I
USAA Investment Management Company
01.2014 - 10.2020
- Established credibility as a trusted advisor through consistent delivery of high-quality services that generated tangible results for operations
- Liaised and collaborated with client teams to identify potential risks and pain points in deliverables and services.
- Collaborated with cross-functional teams to implement successful change management initiatives within client organizations.
- Improved operational efficiency for clients through detailed analysis of their current processes and recommending adjustments
- Managed regulatory agency reporting for portfolio investment product, collaborating with executives, general counsel, and compliance leaders to ensure accuracy for the FINRA regulatory licensing
- Managed process mapping and documenting regulatory work to manage risks and avoid processing gaps
- Mitigated an elevated risk violation of OCC regulatory requirements for Bank trading to safeguard the ethical integrity of the company brand
- Identified reporting and processing anomalies within daily work streams and system interfaces between vendors
Business Advisor II
USAA Investment Management Company
11.2011 - 01.2014
- Collaborated with cross-functional teams to implement successful project enhancements and change management initiatives within the organization
- Collaborated with project manager to engage clients in proactive planning processes and develop client-specific testing and enhancement solutions.
- Work on multiple priority efforts with prompt delivery
- Created an automation reporting control process for quality assurance for the client mutual fund 'sell' prospectus delivery regulatory practices
- Key contributor for the monthly vendor release calendars worked in part on technology development, testing, documentation, and ensuring compliance with regulators
- Developed and maintain data listing of client project changes, monitored the implemented changes for impact to operations
- Accountable for vendor relationships, submitting problem tickets to resolve system issues, research inquiries, monitoring status logs to ensure projects are progressing, on call for system or file transmission failures
Senior Investment Operations Analyst
USAA Investment Management Company
05.2004 - 01.2011
- Identify and assess operational risks and implement mitigation strategies and controls
- Drive process improvements and automation to enhance efficiency and scalability.
- Lead on team projects and initiatives to streamline operations
- Communicate project status to stakeholders and information technology partners, ensure operation and projects are progressing
- Managed requirements, developing full scale end-to-end testing, and production implementation
- Business liaison with vendors, compliance, and technology partners
- Managed vendor system changes, assessment and testing to ensure compliance with regulatory requirements, corporate operating standards, and system performance.
- Assisted with onboarding employees, providing operational leadership, ensuring smooth transitions, and collaborating with other business units to align with overall business objectives
Education
No Degree - Business Administration
Emmanuel College
Boston, MASkills
- Process Optimization
- Change Management
- Analytical Data Skills
- Operational Implementation
- Project Management
- Requirement Analysis
- Regulatory Compliance
- Risk Assessment
- Issue Management
- Strategic Thinking
Accomplishments
- Achieved regulatory compliance by introducing client repair records for the Order Audit Trail System 'execution order' reporting task
- Collaborated with team of [Number] in the development of [Project name].
- Develop workflow, project, data and issues inventory tracking spreadsheets for the operations and technology teams.
Specialized in technology and regulatory compliance.
Monitored and maintain client interface connections and daily time deliverables for an investment order management system, specializing in 'Mutual Fund orders and Networking', 'Equity and Options' order routing, and Automated Customer Account Transfer Service 'ACATS'.
Increased operational efficiency through regular reviews of internal processes, identifying areas for improvement, and implementing solutions accordingly.
Timeline
Investment Business Advisor I
USAA Investment Management Company
01.2014 - 10.2020
Business Advisor II
USAA Investment Management Company
11.2011 - 01.2014
Senior Business Advisor
USAA Federal Savings Bank
10.2004 - 06.2024
Senior Investment Operations Analyst
USAA Investment Management Company
05.2004 - 01.2011
No Degree - Business Administration
Emmanuel College