Ron Orf
St. Louis,MO
Summary
Strategic Vice President known for productivity and efficient task completion. Possess in-depth knowledge in operational management, financial oversight, and team leadership. Excel in communication, problem-solving, and strategic planning to drive organizational success.
Overview
24
24
years of professional experience
Work History
Vice President Field Supervision
Wells Fargo Advisors
St. Louis, MO
04.2006 - Current
- Complete, in-depth review on financial advisors business as well as high risk products and client accounts; review of complex products and strategies and conduct ongoing and ad hoc targeted reviews
- Perform reviews to detect potential employee fraud or financial distress and/or ensure adherence to firm policies in regard to requirements and exceptions
- Supervise, monitor, and analyze research within Wells Fargo Advisors.
- Consult with regional and senior management on policies and procedures, controls, tools and training
- Review controls to manage risk and evaluates resources in place to monitor risk and consult with business units that provide service, products or support to Wells Fargo Advisors
- Serve as a point of knowledge for Wells Fargo Advisor associates regarding firm, compliance, and regulatory policies and procedures, as well as regarding best interest requirements and risk management for firm and vendor-provided products and services.
- Serve as back-up to Supervision Analysis and Regional Branch Supervisors
- Conduct research and complex analysis in search of current and best practices, as well as opportunities for additional synergies, and to maximize efficiencies for Wells Fargo.
- Proficient at gathering and analyzing data from various resources and identifying trends, and presenting analysis through meaningful statistics.
- Identify, review, and address unapproved or high-risk activity within accounts or away from the firm. Conduct preliminary surveillance, monitoring, and investigative analysis of certain retail account activity and outside business activity, related controls, and provide proactive resolutions.
Field Supervision Director
Edward Jones Investments
St. Louis, MO
07.2000 - 03.2003
- Supervised 130 Investment Representatives and 130 branch Office Administrators
- Conduct branch audits and compliance discussions for branches supervised
- Review daily trade blotter and supervise stock, bond, annuity and mutual fund trades
- Responsible for $4-$7 billion in assets under management
- Evaluate and approve daily trading activity and new account information.
- Determine suitability of trades, switches and mutual fund breakpoints received in client accounts
- Responsible for email surveillance of branches breakpoints
- Conduct compliance discussions and review records while performing branch audits
- Review and approve written correspondence and advertising for branches supervised
- Mentor and train new Field Supervision Directors
- Review, cancel and re-bill, 1035 exchange, margin and FDIC insurance limit reports
- Approve outside business activities for Investment Representatives and Branch Office Administrators
- Look out for the client's best interest and assure compliance of branches
Education
Business Law
Western Carolina University
Cullowhee, NC05-1991
Skills
- Series 7: General Securities Representative
- Series 24: General Securities Principal
- Series 9 & 10: General Securities Sales Supervisor
- Series 63: Uniform Securities Agent State of Missouri
Skills
- Life and Health Insurance License
- Proficient in MS Office: Word, Excel, PowerPoint
- Data Analysis
- Staff Development
- Coaching and Mentoring
- Documentation And Reporting
- Complex Problem-Solving
- Critical Thinking
Timeline
Vice President Field Supervision
Wells Fargo Advisors
04.2006 - Current
Field Supervision Director
Edward Jones Investments
07.2000 - 03.2003
Business Law
Western Carolina University
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