Steven Sears

• Responsible for FINRA, SEC and State exams and inquiries
• Handle oversight and escalations for Operations and Trade Supervision of the broker-dealer.
• Coordinated with affiliated registered investment advisor: First Republic Investment Management; to ensure harmony between BD and RIA policies.
• Managed internal branch exams and annual reviews, point of contact for all Wealth Managers.

• Enhanced client retention rates with timely follow-ups and personalized attention to individual concerns.
• Handled day to day client operations and processing for four Financial Advisors with assets over $300 million and production over $2 million.
• Offered solutions to estate planning and other wealth building issues through my extensive product knowledge.

• Managed day to day operations, including opening and updating accounts, validated all outgoing wires, checks and DTC requests along with all client check and stock certificate deposits.
• Researched and resolved client incidents, partnered with branch and home office leaders to offer and implement solutions.
• Brought department to an outstanding audit from satisfactory.

• Managed 22 branch, operational and advisor associates.
• Handled all compliance, operational, trade and legal matters for the branch.
• Helped lead branch revenue increase of $6 million through monitoring general ledger and championing strategic initiatives.
• Nominated and participated in Emerging Leaders for Action, Leaders Leading for Growth and a six week product training programs.

• Managed branch compliance, legal and regulatory affairs.
• Ensured all branch staff and advisors adhered to firm and regulatory policies.
• Reviewed all trades, emails, monthly client accounts and contact and all client complaints.

• Responsible for setting up operations department and systems for a start up along with managing staff.
• Negotiated new contract with our clearing firm.
• Handled all compliance functions, including broker and firm registrations, U4 and U5 filings.

• Managed 8 staff overseeing firms daily operations.
• Ensured accuracy of all distributions from VC firms for clients and all trade related activity.
• Firm had $6 billion in distributions and $7.5 billion in sales for 45 clients in 2000.
• Managed SEC exam for entire firm with only 1 finding.

• Managed multiple projects and relationships with financial service firms, both internally and externally.
• Managed at least five new projects (including SEI, Charles Schwab, Bank of New York) while maintaining twenty existing relationships including Morgan Stanley and Wells Fargo.

• Managed two, ten person teams.
• Responsible for payment of dividends, internal computer systems and fund reconciliation.
• Worked on projects for the merger with Nationsbank.

Held various positions within the firm from Institutional trader, Mutual Fund Operations Manager and Team Manager e.Schwab Operations.