Suzanne Boisvert
East Hartford,CT
Summary
Operations Management "Multi-faceted career with a proven track record of Regulatory and operational excellence."
Overview
18
18
years of professional experience
Work History
Regulatory Operations, Director
Empower
Hartford, CT
01.2021 - Current
- Promoted from Manager to Director with oversight of Retail Operations and Customer Service Teams
- Provide execution and delivery for all operational functions, customer service, broker dealer governance and regulatory control oversight
- Direct management of GPSI Team which produces quarterly asset allocation reports, invoices, and trade processing
- Continuous improvements through streamlining, technology enhancements
- Manage 5-7 annual audits and ensure daily compliance adherence
- Accountable for management of matrix teams
- Prepare and present key operational metrics to auditors and board members (internal/external)
- Vendor oversight
- Change Management and Career Development
- Customer Service Team Management including IncomeFlex Product oversight
- Transition coordination with adherence to TSA agreements.
Direct Service Team and Retail Operations Manager
PRUDENTIAL RETIREMENT
Hartford, CT
01.2012 - 01.2020
- Management of the Direct Service and Operations Teams who are responsible for providing superior service to Retail and Retirement Service participants
- Provide regulatory oversight of all activities related to in-bound and outbound calls to Individual Retirement and Retail Account holders which include executing stock and mutual fund trades, exchanges, distributions, and overall account maintenance functions
- Guided employee productivity and optimized cost reduction through process improvements
- Assumed management call center in April 2018
- Led 15 Call Center Representatives servicing 401k Self-Directed Brokerage Accounts, Retail Brokerage and Proprietary IRA services
- Oversight of daily metrics, service levels and supervisory principal responsibilities
- Call monitoring, coaching, and mentoring
- Staff adherence with FINCEN and Compliance regulations
- Developed and initiated pandemic work allocation model to support efficiency and business goals
- Cultivated an inclusive and positive work environment through team building activities
- Liaison for external vendors and internal stakeholders to ensure business needs are supported
- Capacity planning and minimizing constraints due to mass voluntary terminations.
Bank Operations Manager
PRUDENTIAL BANK & TRUST BANK OPERATIONS
Hartford, CT
01.2008 - 01.2012
- Oversight of staff and all bank operations, interacted with individual clients and sought amicable solutions to problems
- Specialized in achieving production goals and maintaining solid customer relations
- Promoted from Team Leader to Manager
- Supervised 18 associates and all internal banking operations
- Balanced daily branch and cashier check reconciliation
- Assisted with merger activities for sale of bank assets
- 40% staff reduction cost containment.
Education
Master of Business Administration -
SOUTHERN NEW HAMPSHIRE UNIVERSITY
Master of Science in Business Administration and Human Resources -
THOMAS EDISON STATE COLLEGE
Skills
- FINRA Series 6,7,24,63,99
- Operations/Regulatory Oversight
- Product Knowledge (401k, IRA, Self-Directed Brokerage)
- Risk Management
- Process Redesign
- Cost Containment
- Strong decision-making and Problem-Solving skills
- Consultative communication skills
- Change/Conflict Management
- Career Coaching
- Multi-tasking
- Detail oriented
- Maintaining Compliance
- Continuous Improvement
- Change Management Processes
Awards
2016 BUSINESS RESOURCE GROUP "MOST SUPPORTIVE MANAGER" Award for team community involvement
Accomplishments
- Business Resource Group "Most Supportive Manager" Awarded for team community participation - 2016
Timeline
Regulatory Operations, Director
Empower
01.2021 - Current
Direct Service Team and Retail Operations Manager
PRUDENTIAL RETIREMENT
01.2012 - 01.2020
Bank Operations Manager
PRUDENTIAL BANK & TRUST BANK OPERATIONS
01.2008 - 01.2012
Master of Business Administration -
SOUTHERN NEW HAMPSHIRE UNIVERSITY
Master of Science in Business Administration and Human Resources -
THOMAS EDISON STATE COLLEGE
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