NICHOLAS SWANSON
Omaha,NE
Summary
Dynamic Operations Manager with a proven track record at Osaic, adept at optimizing processes and managing cross-functional teams. Skilled in analytical problem solving and project management, I successfully led initiatives that enhanced compliance and improved service delivery, achieving significant operational efficiencies. Committed to fostering effective communication and collaboration across departments.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Operations Manager - Doc Service
Osaic
12.2023 - Current
- Lead multiple teams, both onshore and offshore, in processing over 6,000 documents daily.
- Maintain relationships with multiple third-party vendors.
- Manage multiple mailrooms across the country.
- Adapted processes to evolving systems and regulations, optimizing SLA.
Operations Manager - New Accounts Processing
Osaic
12.2021 - 12.2023
- Oversaw processes related to account implementation and workflow management.
- Delivered training and coaching sessions on systems and processes.
- Oversaw extensive projects and cleanups for regulatory changes.
- Oversaw shift schedule adjustments ensuring compliance with SLAs.
Senior Systems Analyst - Supervision
Securities America
11.2018 - 12.2021
- I wrote and validated compliance system enhancements for supervision updates.
- Shared internal and external communications regarding updates.
- Project owner for the Supervision Department on multiple projects.
- Created user manuals, training materials, reference documents and other technical documentation related to system operations.
Service Operations - GoldStar Specialist
Securities America
09.2017 - 11.2018
- Fostered effective partnerships with financial advisors who called in struggling with their clients' accounts.
- Mentored new trainees.
- Fostered effective synergy between call center staff and Technology units.
- Streamlined processes for handling life event scenarios.
Education
Associate of Applied Science - Massage Therapy - Massage Therapy
Herzing Omaha School of Massage And Healthcare
Omaha, NE05-2013
Skills
- Analytical Problem Solving
- Technical Proficiency
- Effective Communication
- Results-focused
- Decision making
- Project management
Certification
- SIE
- Series 7
Timeline
Operations Manager - Doc Service
Osaic
12.2023 - Current
Operations Manager - New Accounts Processing
Osaic
12.2021 - 12.2023
Senior Systems Analyst - Supervision
Securities America
11.2018 - 12.2021
Service Operations - GoldStar Specialist
Securities America
09.2017 - 11.2018
Associate of Applied Science - Massage Therapy - Massage Therapy
Herzing Omaha School of Massage And Healthcare
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