Rebecca Sierp
CCO/Operations Manager
Fort Worth,TX
Summary
Motivated and proficient senior manager offering history of success coordinating and monitoring operations and compliance across RIA firm. Effective leader and problem-solver dedicated to streamlining operations to decrease costs and promote organizational efficiency. Highly committed with hardworking mentality to maintain quality of services and products. Bringing 12 years of experience in field and ready to take on challenging, growth-oriented role.
Overview
5
5
Certificates
1
1
year of post-secondary education
16
16
years of professional experience
Work History
Chief Compliance Officer/Senior Manager
WPWealth LLP
Fort Worth, TX
06.2008 - Current
- Ensure RIA firm is being run legally and ethically, complying with all applicable SEC and DOL regulations.
- Represent Compliance Department in cross functional firm initiatives.
- Develop and deliver education on compliance policies and procedures to ensure proper understanding of regulatory risks and responsibilities.
- Review, analyze, update, and maintain all compliance filings, disclosures, forms, policies and procedures.
- Optimized operational continuity by implementing workflows and enhanced inventory documentation.
- Managed large-scale projects and initiatives including, introducing new systems, tools, and processes to support attainment of challenging objectives.
- Supervise and direct the operations team to keep projects on-track and tasks prioritized.
- Oversee trading desk and billing department, assets under management $650 million.
- Manage 40 different company retirement plans, assets totaling $55 million.
Retirement Plan Administrator
WorkLife Financial
Irving, TX
01.2008 - 05.2008
- Served as the daily contact to sponsors and participants regarding 401(k) matters.
- During the merger with WorkLife Financial, responsible for custodial transfer of all clients (setting up transfer of assets, blackout notices, participant notifications, etc.)
Plan Administrator
D.R. Horton
Fort Worth, TX
01.2005 - 12.2007
- Administered the company 401(k) plan within company policy and federal regulations.
- Processed month-end reports (required minimum distributions, loans in default, residual participant balances), enrollment eligibility and sent out enrollment packets on a quarterly basis.
- Assisted in annual plan audits by preparing reports and gathering requested information.
Education
Bachelor of Science - Business Studies, Business Finance
Southern New Hampshire University
Hooksett, NH 01.2017 - 01.2018
Associate of Arts - University Studies
Tarrant County College
Skills
Problem resolution
Relationship development
Work flow planning
Project planning and development
Risk management
Business administration
Complex problems analysis
Cross-functional communications
Business planning
Operations management
Data Analysis
Superb time management skills
Unsurpassed work ethic
Vendor sourcing
Affiliations
- National Society of Leadership and Success
- Women in Leadership
- Empowering Women as Leaders (EWL)
- National Association of Plan Advisors (NAPA)
- TD Ameritrade Client Experience Panel (2016 to 2019)
Certification
Series 65
Timeline
Bachelor of Science - Business Studies, Business Finance
Southern New Hampshire University
01.2017 - 01.2018
Chief Compliance Officer/Senior Manager
WPWealth LLP
06.2008 - Current
Retirement Plan Administrator
WorkLife Financial
01.2008 - 05.2008
Plan Administrator
D.R. Horton
01.2005 - 12.2007
Associate of Arts - University Studies
Tarrant County College