Todd Bright
Phoenix
Summary
Versatile Senior Manager specializing in risk management and skilled at planning, implementing and overseeing key improvements to drive business growth and efficiency.
Overview
24
24
years of professional experience
1
1
Certification
Work History
Sr. Compliance Mgr - Surveillance & Monitoring
Charles Schwab
10.2021 - Current
- Created and led the TD Ameritrade Option Surveillance Program. Managed six reps on the day-to-day process of the Options Surveillance Program. Managed the process to protect both the firm and clients from potential excessive risk/losses.
- Led and managed the Option Surveillance review process for TD Ameritrade Trade Support. Managed TD Ameritrade surveillance process to ensure completion of review.
- Developed and coached reps
- Engagement team member
- Campus lead recruiter
- Managed Smarts US alerts process and led partnership with internal and external clients.
- Implemented and developed operational standards, policies and procedures.
- Reviewed documents, files, transcripts and other records to assess compliance and potential risk.
- Maintained effective working relationships with regulatory authorities, suppliers and customers.
- Managed large-scale projects and introduced new systems, tools, and processes to achieve challenging objectives.
Sr. Risk Manager - Business Unit Risk
Charles Schwab
06.2017 - Current
- SME for all complex trading issues that could pose risk to the business unit and ensure compliance
- Led outbound call campaign to increase visibility of the AS Sales & Service Solutions Team increasing case volume by 200% and decreasing overall risk to Schwab
- Responsible for providing a dedicated and thorough level of support for Sales & Service by partnering closely with our Sales and Service organizations to ensure that unique and complex issues are proactively and transparently managed and resolved.
- Collaborated with internal business partners, which allowed me to innovate to make complex routine and create seamless client experience.
- Processed complex and unique client issues allowing capacity for Sales Relationship Managers to focus on client relationships and client strategy and give Service Professionals time to focus on making every client experience consultative, personalized and seamlessly executed.
- Managed team of 12 engagement managers across Orlando, Texas and Arizona.
- Diversified portfolio for company by bringing in business from tax advantage products.
- Delivered feedback to decision-makers regarding employee performance and training needs.
Team Lead - Managed Account Trading Risk & Recon
Charles Schwab
05.2014 - 05.2017
- Coached team members in techniques necessary to complete job tasks.
- Evaluated employee skills and knowledge regularly, training and mentoring individuals with lagging skills.
- Performed in-depth research and investigations and recommended strategies to resolve problems and prevent further concerns.
- Trained staff during demonstrations, meetings, conferences and workshops.
- Engaged with collections, risk,and fraud teams, collaborating on implementation of collection strategies.
- Minimized resource and time losses by addressing employee or production issue directly and implementing timely solutions.
Team Lead - Institutional Trade Error & Risk Desk
Charles Schwab
09.2009 - 05.2014
- Established strategy for operations reporting and analytics, identifying key needs for deliverables while driving continuous improvement of processes.
- Developed and controlled execution of reporting and analytics for multiple departments.
- Taught employees how to control risks at front line, including how to interpret and apply sound policies.
- Investigated allegations to check validity and recommend actions to minimize risk.
- Oversaw and optimized work of 20 Prime Broker / Trade Support representative performing high-quality trading functions.
- Evaluated employee skills and knowledge regularly, training and mentoring individuals with lagging skills
- Collaborated on implementation of collection strategies with collections, risk and fraud teams.
- Evaluated employees' strengths and assigned tasks based upon experience and training.
Senior Trader - Institutional Trading
Charles Schwab
09.2000 - 05.2009
- Arranged sales between buyers and sellers, acting as representative for third party.
- Led cross-departmental and divisional workflows supporting risk management.
- Conducted research to answer questions and handle issues using multiple systems and resources.
- Worked with Institutional clients to understand needs and provide trading service.
- Liaised between institutional clients and various departments, communicating effectively to maintain customer satisfaction and uphold company protocols.
Retail Customer Service
Charles Schwab
09.1999 - 09.2000
- Assisted customers in making informed purchase choices and selecting products.
- Developed and maintained strong knowledge of multiple products and varying levels of benefits within each product.
- Actively listened to customers' requests, confirming full understanding before addressing concerns.
- Attended build a broker program
Education
Bachelor of Interdisciplinary Studies - Political Science/ Justice Studies
Arizona State University
Tempe, AZ1999
Skills
Business planning
Customer service
Licensed Trader
Risk mitigation
Risk Assessments
Staff Management
Team building
Compliance risk management
Data Analysis
Mentoring
Coaching
Certification
Series 7 Series 63 Series 9 Series 10
College Intern Mentor
Engagement Manager
College Recruiter (Scout Team)
Aspiring Manager Program
Timeline
Sr. Compliance Mgr - Surveillance & Monitoring
Charles Schwab
10.2021 - Current
Sr. Risk Manager - Business Unit Risk
Charles Schwab
06.2017 - Current
Team Lead - Managed Account Trading Risk & Recon
Charles Schwab
05.2014 - 05.2017
Team Lead - Institutional Trade Error & Risk Desk
Charles Schwab
09.2009 - 05.2014
Senior Trader - Institutional Trading
Charles Schwab
09.2000 - 05.2009
Retail Customer Service
Charles Schwab
09.1999 - 09.2000
Bachelor of Interdisciplinary Studies - Political Science/ Justice Studies
Arizona State University
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