Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Russell Tate

Birmingham,AL

Summary

Dynamic Business Operations Manager with a proven track record at Regions Investment Services, excelling in operations management and team building. I posses a solid foundation in driving operational success and improving organizational performance. Skilled in optimizing workflows and enhancing compliance processes, I foster strong relationships and drive efficiency, ensuring high standards in financial service and training new associates to achieve operational excellence. Known for fostering collaborative environments and adapting to evolving business needs. Experienced in process optimization and team leadership, consistently delivering results, and building key relationships.

Overview

29
29
years of professional experience
1
1
Certification

Work History

Business Unit Operations Manager

Regions Investment Services
12.2014 - Current
  • Supervise the service desk and house advisory team.
  • Manage Regions Investment Services Licensing and Suitability teams.
  • Partner with Regions Compliance to establish effective risk controls.
  • Contribute to Audits by gathering data and providing insights.
  • Support operational processes by applying best practices and procedures to be efficient.
  • Assist in daily workflow management, ensuring tasks were completed efficiently and accurately.
  • Adapted quickly to new tools and systems, enhancing productivity within the team environment.
  • Engaged in training sessions to develop skills in business operations methodologies and best practices.
  • Manage vendor relationships. Act as a liaison for multiple relationships.
  • Hire new associates and train to build the Best Teams
  • Conduct individualized coaching sessions.
  • Collaborate with Senior Management on special projects
  • Engage with other managers to continue developing efficient processes
  • Assist in training sessions for incoming Financial Advisors.
  • Obtained the FINRA Series 24

Compliance Analysis

Regions Investment Services
03.2014 - 11.2014
  • Ensured Licensed Bankers were compliant with AML standards.
  • Ensured reporting of AML standards were accurate.
  • Ensured regulatory compliance by staying up-to-date with the latest industry standards, assisted in regular audits, and implemented necessary changes to procedures.
  • Enhanced Business Led Third Party procedures built around the Enterprise Risk initiative.
  • Maintained accurate Vendor records for Vendor Management reporting to RegIS Senior Management.
  • Facilitated Business Led Third Party meetings, gathered Financial data on Annuity Carriers and created reports for Senior Management
  • Gathered information regarding complaints ensuring proper procedures were followed and reported findings to management.


Institutional Sales Assistant

Synovus Securities Inc.
01.2005 - 03.2014
  • Facilitated client account management and documentation processes, ensuring compliance with industry regulations.
  • Assisted in the preparation of investment proposals, enhancing presentation quality and client engagement.
  • Coordinated communication between clients and financial advisors to streamline service delivery.
  • Assisted in gathering financial product information for offerings and identify growth opportunities for clients.
  • Built bond ladders and performed portfolio analysis for the sales team.
  • Organized client meetings and follow-ups, improving customer relationship management efficiency.
  • Developed process improvement suggestions that enhanced workflow efficiency within the sales and operations departments.
  • Organized monthly operational meeting to discuss correcting issues.
  • Ensured accurate trade settlement in Institutional accounts.
  • Ensured proper payments of dividends and interest.
  • Obtained the FINRA Series 65

Institutional Sales Assistant

SouthTrust Securities, Inc
01.1998 - 01.2005
  • Facilitated client account management and documentation processes, ensuring compliance with industry regulations.
  • Supported sales team in data entry maintaining accuracy in records and reports.
  • Handled customer inquiries and complaints while following Compliance procedures and protocols.
  • Processed transactions accurately while maintaining a high level of customer service.
  • Participated in ongoing training to stay updated on current products, promotions, and industry trends.
  • Built rapport with repeat customers, fostering long-term loyalty.
  • Liaison between Institutional Sales team and Operations.
  • Assisted in selling of bonds to Institutional clients.
  • Obtained a FINRA Series 7 and 63 and the Alabama Life Insurance License.

Purchase and Sales Clerk

Sterne, Agee and Leach
02.1996 - 01.1998
  • Processed reporting of daily trade blotter
  • Analyzed reports for discrepancies
  • Communicated with trading desk and other Broker Dealers to correct trade issues.
  • Input trades for Trading Desk, ensuring accuracy.
  • Addressed trade issues and settlement discrepancies with external firms.
  • Reconciled trade imbalances

Education

Finance

University of Alabama At Birmingham
Birmingham, AL

Skills

  • Operations management
  • Building the best team
  • Staff management
  • Effective communication
  • Onboarding and training
  • Business workflows
  • Sales operations
  • Operations optimization
  • Relationship building and management

Certification

FINRA Series 7,24,63,65

Alabama Life and Health Insurance License

Timeline

Business Unit Operations Manager

Regions Investment Services
12.2014 - Current

Compliance Analysis

Regions Investment Services
03.2014 - 11.2014

Institutional Sales Assistant

Synovus Securities Inc.
01.2005 - 03.2014

Institutional Sales Assistant

SouthTrust Securities, Inc
01.1998 - 01.2005

Purchase and Sales Clerk

Sterne, Agee and Leach
02.1996 - 01.1998

Finance

University of Alabama At Birmingham

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Russell Tate