Shawnna Summers
Mount Juliet,TN
Summary
30+ years of solid experience in management and administration with direct client contact in all facets of brokerage industry operations and compliance, with a focus on exceeding client expectations. Expertise in leading, training, mentoring and motivating cross-functional diverse teams to meet and exceed goals; strong program development and implementation background.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Vice President - Regional Supervisory Officer
B. Riley Wealth Management
02.2022 - Current
- Monitored ongoing compliance efforts, utilizing periodic assessments to measure effectiveness and identify areas for improvement.
- Implemented corrective actions in a timely manner following the discovery of non-compliance issues or areas requiring improvement.
- Maintained up-to-date knowledge of industry regulations, ensuring timely implementation of new rules and guidelines.
- Reduced potential risks for the organization by conducting thorough audits and identifying areas of improvement.
- Stayed informed on emerging trends within the field of regulatory compliance, incorporating best practices into company procedures where appropriate.
Financial Relationship Advisor
Wells Fargo Advisors
08.2018 - 02.2022
- Builds partnerships with existing advisors to assist them in segmenting their book of business
- Establishes new client relationships by networking and generating referrals
- Currently manages over $30mm in AUM as a result of partnering with advisors and assisting with segmentation
Vice President, Complex Operations Manager
Wells Fargo Advisors
01.2013 - 08.2018
- Day-to-day proactive management of the Complex Operational Hub including enforcing all compliance policies and procedures, as well as building the case for appropriate exceptions
- Partners with the Complex management team, communicating all operational policies, procedures, and updates for distribution to Client Associates
- Coordinates and chairs bi-monthly operational support staff meetings to provide the staff a specific opportunity to learn all policy and procedural updates
- Creates agenda and ensures all staff attend
- Solicits feedback and other input, both positive and negative, from Client Associates in order to find opportunities to potentially increase efficiency within the Operational Hub
- Processes for all seven branches in the Operational Hub the usual check requests, journals and federal funds wires
Director, Complex Assistant Operations Manager
UBS Financial Services Inc.
09.2012 - 01.2013
- Assists Complex Operations Manager in managing Operational Hub consisting of 12 Branches (2 complexes)
- Responsible for management and development of 15 operational staff in both processing and associate branches
- Partners with members of 2 Complex Management Teams, communicating all operational changes to policies or procedures for distribution to their Client Service Associates
- Coordinates and chairs monthly Operational Support Staff meetings ensuring staff is informed of all procedural updates
- Creates agenda and ensures all staff are in attendance
- Solicits feedback from Client Service Associates across both complexes in order to increase efficiency within the Operational Hub
Director, Team Administrator – Kirby, Calvani & Walker
UBS Financial Services Inc. Private Wealth Management
06.2011 - 09.2012
- Led the daily operations of the team and ensured service excellence for clients
- Educated clients on account services and capabilities and coordinated the on-boarding process for new clients
- Provided support for Financial Advisors and acted as lead service provider for high priority relationships
- Prioritized account service requests and reviewed daily reports and alerts to ensure completion
- Partnered with Financial Advisors to develop a repeatable and scalable service matrix
Complex Administrative Manager/Director
UBS Financial Services Inc.
10.2007 - 06.2011
- Excellence in this capacity was directly responsible for the complex being named 2010 UBS Complex of the year
- Led, managed and supervised 30+ support staff personnel in 3 separate branches in all areas of branch operations and Financial Advisor support; including the processing of all wire requests, inter-office journals and client check requests
- Organized and led monthly support staff meetings, conducted training to review existing programs and policies as well as introduce new procedures
- Conducted semi-annual employee performance reviews, setting goals and establishing individual training plans for each staff member to ensure all firm initiatives are met
- Worked closely with the Complex Director managing the day-to-day issues as well as providing guidance on staffing requirements, initiative goals, recruiting strategies and all compliance matters
- Conducted between 25-30 monthly Manager-to-client active account risk assessment calls
- Reviewed and approved all office correspondence including; support staff email, incoming/outgoing mail, faxes and all marketing materials
- Was frequently asked to speak at large, area Complex Administrative Manger meetings and UBS Regional Management meetings to provide insight and best practices to other area Complex Admin
- Managers and Complex Directors
Skills
- Complex Management
- Teambuilding & Supervision
- Staff Development & Training
- Proficient in Microsoft Office
- Compliance and Regulatory Policies
- Personnel Mentoring & Coaching
- Communication
- Oral and Written Presentations
- Staffing
- Team leadership
- Work coordination
- Management
- Policies and procedures implementation
- Wealth management
- People management
- Organization and multitasking
- CRM software experience
- Relationship building
- Reliability and punctuality
- Decision-making
- Coaching and mentoring
- Financial product sales
- Employee development
- Maintaining compliance
- Client relationships
- Investment strategies
Certification
FINRA Series 7, 63, 66, 9, 10
TN Insurance Licensed
Timeline
Vice President - Regional Supervisory Officer
B. Riley Wealth Management
02.2022 - Current
Financial Relationship Advisor
Wells Fargo Advisors
08.2018 - 02.2022
Vice President, Complex Operations Manager
Wells Fargo Advisors
01.2013 - 08.2018
Director, Complex Assistant Operations Manager
UBS Financial Services Inc.
09.2012 - 01.2013
Director, Team Administrator – Kirby, Calvani & Walker
UBS Financial Services Inc. Private Wealth Management
06.2011 - 09.2012
Complex Administrative Manager/Director
UBS Financial Services Inc.
10.2007 - 06.2011
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