Tu Loan Julie Radcliffe
Altamonte Springs,FL
Summary
Experienced leader with strong background in guiding teams, managing complex projects, and achieving strategic objectives. Excels in developing efficient processes, ensuring high standards, and aligning efforts with organizational goals. Known for collaborative approach and commitment to excellence.
Overview
28
28
years of professional experience
4
4
Certification
Work History
Advisor Services Sales Program Senior Project Manager
Charles Schwab & Co., Inc.
04.2023 - Current
- Oversee the entire RFP and customized presentation product and process for AS Sales. Collaborate directly with senior leaders and business partners to help the sales organization win new RIA custody business, develop existing RIA client relationships, and oversee day-to-day operations. Facilitate meetings, capture requirements, identify, and evaluate risks, resolve issues, and deliver under tight timelines. Manage quality and compliance of all deliverables and client and production activities. Architect and augment a robust content management system, providing a network of information for new RFPs. Oversee regular attestations of content to satisfy compliance and auditing requirements. Analyze RFP and customized presentation success rates, volumes, and trends with Sales Management. Function as an established resource and knowledge partner to bridge information gaps and enrich communications for all Advisor Services client-facing teams. Create new processes and procedures and oversee improvements. Manage administration for other sales programs as needed, including content creation and invoice payment processing. Oversee other projects that support Advisor Services Sales when available.
Advisor Transition Services Senior Team Manager
Charles Schwab & Co., Inc.
02.2018 - 04.2023
- Relocated to Westlake, Texas, and created the new Advisor Transition Services Team in 2018. Interviewed and hired a new team of nine consultants. Created a New Hire Training Program to professionally train external employees on Schwab policies/procedures as well as Transition Services. Projects completed: 2020 Training Calendar, 2020 Recognition Program, 2020 Business Plan, 2020 BCP, 2020 Engagement Plan, 2020 Newsletter, Contra Firm Contract Bank, START and BCP Testing. Project Owner of: ACS Manual, eSig Playbook, ACS eSig Forms Eligibility, Workfront Reviews/Approvals and BCP. Created and maintained strong internal partner network with Sales, Service and Operations in Westlake. Relocated back to Orlando, Florida, in 2020 to lead the ACS Orlando team. Led the busiest and most tenured ACS team. Projects included: Transition Services Newsletter and Recognition Program, Audit, New Hire Training Program, Bank and START. Met with employees consistently and supported career development and growth. Consistently met deadlines for training and management responsibilities. Increased and maintained high Advisor survey scores as well as Engagement Survey scores YOY. Received the highest IPS scores of all ACS Teams in 2022. Supported annual business initiatives and project plans for ACS to ensure Sales was supported to help to monetize the business.
Advisor Transition Services Senior Conversion Consultant for Mid Atlantic Region
Charles Schwab & Co., Inc.
02.2007 - 02.2018
- Total Number of Conversions Completed: 116, Estimated Asset Under Management: $12B and Sub Accounts: 26,215
- Provide customized project planning for Registered Investment Advisors and/or Advisors Turning Independent who are transitioning to Schwab Advisor Services from other custodians. Possess a thorough understanding of Schwab Advisor Services’ products, services, policies and procedures, a full understanding of new accounts, transferring of assets, cashiering, account maintenance processing, Schwab Advisor Sales as well as the RIA industry to assist new advisors with their transition to Schwab. Coordinate with all stakeholders including Sales and Service to ensure project deadlines are being met and the advisor experiences a seamless transition to Schwab. Provide a superior level of client service and support to Investment Advisors and our Service and Sales organization to increase net new assets. Responsible for leading numerous complex conversions for the Mid Atlantic Region while still supporting cross-site and cross-segment service initiatives and consistency projects. Presented virtual and onsite training to advisors on SAC.com as well as Schwab forms. Displayed leadership and innovative skills in leading various projects while also working well in a collaborative team environment. Maintained flexible schedule regarding short notice and/or extended travel to Investment Advisor’s offices for onsite assistance and training. Converted the most assets to AST&O for the ACS Orlando team from 2007-2011. Assisted with the Wharton Business Group conversion which transitioned in over $18Billion in AUM to Schwab in 2010. Completed the 2011 Aspiring Managers Program (an extensive 6-month manager training program). Represented the ACS team at IMPACT 2011 as an IMPACT Ambassador and met with prospect advisors. Was the primary point of contact for ACS Offshore until 2011 regarding troubleshooting issues, quality assurance and monthly productivity tracking while also creating and maintaining their procedures. Displayed leadership on numerous additional projects such as: ACS SME Program, ACS New Hire Program, Business Acceptance Team SME, Social Director, ConGa Checklist Project, mentor for new hires, presented at Mid Atlantic Discovery Day in Philadelphia and played a key role on the ACS Consistency Project.
Schwab Advisor Services Senior Service Specialist
Charles Schwab & Co., Inc.
11.2004 - 02.2007
- Made outbound service calls to Registered Investment Advisors for the Mid Atlantic Region (ISTE8) on operational questions/issues. Processed all operational tasks for premium tier service team while monitoring all incoming work for the team. Participated in numerous pilot projects and/or large projects for investment advisors, i.e., Client Central Pilot and Client Central Written Procedures Project. Maintained daily work log, staffing updates for the team, and Out of Service/Urgent Items report to meet service standards. Functioned as Legal Resource, Operations, and Client Central system Subject Matter Expert for the team. Managed all requests for legal accommodations for the team. Regularly trained team members on legal matters, operational issues and procedures, Evidence of supervision and Client Central system updates. Functioned as a resource to fellow team members for standard and exceptional practices. Maintained highest productivity and accuracy on the team while participating in numerous projects at any given time.
Schwab Advisor Services Senior Relationship Specialist
Charles Schwab & Co., Inc.
08.2000 - 11.2004
- Work was self-directed within the context of the team while providing guidance/expertise to other team members in handling client inquiries and issues. Managed escalations from sales, team members and internal departments. Maintained strong operational knowledge of procedures within Schwab Advisor Services. Maintained a strong relationship with Blue Ridge Investment Advisors. Ensured client requests were completed by the team within required time frames and accurately to ensure client satisfaction. Evaluated team members regularly, provided various training and mentored less experienced team members. Educated and informed the team on risk issues, website updates and new important operational or client changes in team meetings. Promoted after first year on the team.
Registered Sales/Brokerage Assistant
Prudential Securities Inc.
04.2000 - 08.2000
- Assisted nine investment advisors in all aspects of client relationships. Opened new accounts, processed check and wire requests, D&I payouts, etc. Maintained strong client service relationship with clients and advised on their account activity. Placed unsolicited trades for equity, debt securities and mutual funds for clients. Assisted brokers on side projects, i.e., updating their client database, organizing sales materials, and client mailings, etc.
Registered Sales Representative
ING/Furman Selz Asset Mgmt.
04.1999 - 04.2000
- Opened and maintained client accounts with high-net-worth Limited Partners, i.e., portfolio performance, quarterly letters, account balances, contributions, and withdrawals. Marketed onshore and offshore hedge fund to prospective clients by organizing sales kits. Daily reconciliation of all cash and securities in our portfolio totaling over $50 million and tracked profit/loss of equities in our portfolio. Placed unsolicited trades for equity and debt securities and settled all trade discrepancies with the back office. Acquired the Series 7 and 63 licenses.
Sales Assistant to Large Capital Portfolio Managers
Khaner Capital Management, LLP
11.1997 - 04.1999
- Daily reconciliation of all cash and securities in our portfolio totaling over $25 million. Placed unsolicited trades for equity and debt securities and tracked price targets and profit/loss of portfolio. Performed limited buy-side equity research on IPO’s and companies for stock recommendation.
Education
Bachelor of Arts Degree - Communications, Journalism
University of Central Florida
05.1996
Skills
- Brokerage industry expertise
- Extensive experience in Schwab Advisor Services
- Management experience in advisor transition services
- Achieved Chairman’s Club distinction (2011, 2017)
- Management training program participation
- Effective written and verbal communication
- Proven relationship-building expertise
- Strategic thinking
- Problem-solving skills
- Collaborative networking abilities
- Organizational strategy development
- Service excellence
- Project management
- Sales strategy
- Client relationship management
Certification
Series 7
Series 63
Series 9
Series 10
Timeline
Advisor Services Sales Program Senior Project Manager
Charles Schwab & Co., Inc.
04.2023 - Current
Advisor Transition Services Senior Team Manager
Charles Schwab & Co., Inc.
02.2018 - 04.2023
Advisor Transition Services Senior Conversion Consultant for Mid Atlantic Region
Charles Schwab & Co., Inc.
02.2007 - 02.2018
Schwab Advisor Services Senior Service Specialist
Charles Schwab & Co., Inc.
11.2004 - 02.2007
Schwab Advisor Services Senior Relationship Specialist
Charles Schwab & Co., Inc.
08.2000 - 11.2004
Registered Sales/Brokerage Assistant
Prudential Securities Inc.
04.2000 - 08.2000
Registered Sales Representative
ING/Furman Selz Asset Mgmt.
04.1999 - 04.2000
Sales Assistant to Large Capital Portfolio Managers
Khaner Capital Management, LLP
11.1997 - 04.1999
Bachelor of Arts Degree - Communications, Journalism
University of Central Florida
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