Summary
Overview
Work History
Education
Skills
References
Timeline
Generic

Toni Dunlap

Catawba,SC

Summary

Multi-talented FINRA Licensed Financial Professional with 14 years of experience managing business operations and analytics. I am skilled at implementing processing improvements and making immediate contributions to optimize efficiency in business operations.

Overview

26
26
years of professional experience

Work History

Sr. Practice Manager

Financial Resources Group
09.2021 - Current
  • Supervise the Operations and Virtual Admin Solution (VAS) Departments.
  • Spearhead process improvement campaigns for operational platforms and procedures increasing production standards and reducing rework.
  • Designed and implement company's Virtual Admin Solutions Department.
  • Perform Quality Assurance audits on new accounts, monetary transactions, and inbound/ outbound client calls.
  • Support inbound call center during high call volume or isolated call drivers such as initial public offerings, corporate actions, and advisor escalations.
  • Developed full cross-training program for Operations Department and VAS associates
  • Designed and introduced leadership development, coaching and team management model, resulting in promotion of employees into increased levels of responsibility.
  • Streamlined and automated Advisory Fee Billing procedures
  • Implemented uniform service level agreements for Tier 1, Tier 2 and Complex processing workflows reducing rework and increasing client retention while resolving broken windows between Operations and VAS departments
  • Recruited, hired and trained all staff, providing direct supervision, ongoing staff development and continuing education to employees.

Sr. Vice President of Operations

GerLoftin Wealth Advisors
04.2018 - 08.2021
  • Supported 426 high net worth and private wealth advisors and assistants with establishing and servicing Brokerage and Advisory accounts.
  • Coached and trained advisors and assistants on cost basis, retirement plan establishment, tax codes, Advisory billing, alternative investments purchases, and SalesForce navigation.
  • Identified opportunities to improve business process flows and productivity.
  • Hired and managed employees to maximize productivity while training staff on best practices and protocols.
  • Generated and analyzed service team financial budget reports for trade errors.
  • Department subject matter expert for Advisory, Retirements, Alternative Investments, Transfer of Assets, Cost Basis, Legal, Margins, and Corporate Actions.
  • Supported Business Development and Transitions Departments by conducting weekly/ monthly training sessions for advisors and assistants during their on-boarding process.
  • Processed Advisory Billing and Commissions fees and corrections via Oracle
  • Spearheaded the development and implementation of monetary auditing program which eliminated missed disbursements and IRA distributions and reduced trade corrections.
  • Created and implemented an investment challenge training program to encourage customer service and procedural training to current with operational policies and procedures to decrease inconsistent information.
  • Developed and implemented new strategies and policies in collaboration with executive partners to establish and achieve long-term business objectives, providing company with strong and sustainable organizational leadership.

AVP of Advisory Services

Triad Advisors
06.2015 - 04.2018
  • Spearheaded process improvement campaigns for operational processing platforms increasing productivity and minimizing rework.
  • Aligned organizational objectives with company mission to increase business growth and integrate work strategies.
  • Supported Equity and Options trading during peak trading hours or isolated call drivers.
  • Developed and implemented new strategies and policies to establish long-term business objectives and provide strong and sustainable organizational leadership.
  • Streamlined operations to maximize business efficiency and profits.
  • Enabled revenue generation by pursuing partnerships, sourcing funding, and capitalizing on market opportunities.

Business Analyst

ETRADE Securities
09.2014 - 06.2015
  • Interacted with internal customers to understand business needs and translate into requirements and project scope.
  • Collaborated with stakeholders to define project objectives and criteria.
  • Performed gap analysis to identify areas of improvement.
  • Improved business direction by prioritizing customers and implementing changes based on collected feedback.

Service 360 Representative

LPL Financial
02.2011 - 08.2014
  • Department subject matter expert for Advisory, Retirements, Alternative Investments, Transfer of Assets, Cost Basis, Legal, Margins, and Corporate Actions.
  • Handled customer complaints quickly and professionally to restore customer confidence and prevent loss of business.
  • Greeted customers warmly to set tone of customer experience and provide welcoming and friendly atmosphere.

Business Analyst

Vanguard Group
12.2004 - 02.2011
  • Restructured corporate training modules all processing functions.

US Air Force F-16 Crew Chief

07.1997 - 03.2005
  • Serviced and repaired F-16 aircraft.

Education

Bachelor of Science - Organizational Management

Purdue University Global
West Lafayette, IN
12.2024

Skills

  • Policy and Procedure Development
  • Data Mapping
  • Salesforce
  • Financial Goal Planning

References

Available upon request.

Timeline

Sr. Practice Manager

Financial Resources Group
09.2021 - Current

Sr. Vice President of Operations

GerLoftin Wealth Advisors
04.2018 - 08.2021

AVP of Advisory Services

Triad Advisors
06.2015 - 04.2018

Business Analyst

ETRADE Securities
09.2014 - 06.2015

Service 360 Representative

LPL Financial
02.2011 - 08.2014

Business Analyst

Vanguard Group
12.2004 - 02.2011

US Air Force F-16 Crew Chief

07.1997 - 03.2005

Bachelor of Science - Organizational Management

Purdue University Global

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Toni Dunlap