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Chief Operating Officer Resume Example

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CHIEF OPERATING OFFICER
Summary
Chief Operating Officer with company oversight, committed to cost-effective management of resources and quality performance.  
Skills
  • Business Strategy
  • Client Account Management
  • Compensation Design
  • Compliance Supervision
  • Cost Reduction
  • Data Analyst
  • Data Management
  • Employee Relations 
  • Employee Training 
  • Human Resources 
  • Project Management
  • Process Improvement
  • Technology Integration
  • Vendor Negotiations
Core Accomplishments
Operations Management:
  • Managed the transition of $400MM in assets .
  • Handled all functions related to the transition.
    Experience
    The Institute for Wealth ManagementDenver, COChief Operating Officer01/2010 to Current
    Chief Compliance Officer01/2010 to 01/2011
    VP of Operations01/2007 to 01/2010
    • Adapted the organization to assume two Registered Investment Advisors (RIA) within four months.
    • The assumed assets from the former RIAs have been $600MM and $30MM.
    • Managed the Turnkey Asset Management Program (TAMP) for two hundred advisors and their clients on multiple trading and custodial platforms.
    • Optimized trading software and introduced new procedures that decreased the time needed to rebalance accounts from three days to a few hours while the volume of trading activity quadrupled.
    • Added a structured note to the allocation strategies.
    • Developed and implemented procedures for managing the fixed income component within the portfolio management system and online trading platforms.
    • Facilitated the onboarding of 1,519 accounts in four months without additional hires.
    • Decreased Days Receivable by 40% through improving process and systems.
    • Eliminated four low margin relationships allowing resources to be focused on more financially viable relationships.
    • Implemented secure technology that provides retail clients online access to account data and customized reporting.
    • Successfully relocated the business to a new building while maintaining uninterrupted client service.
    • Negotiated contracts and managed vendor relationships through the upgrade of all office technology.
    • Removed an under-performing PEO vendor and implemented a new benefits program.
    • Enhanced the offering and immediately saved the company and employees 20% in health insurance premiums.
    • Migrated nine years of client paperwork to a digital document storage system.
    Columbia FundsAurora, COCorporate Trainer01/2006 to 01/2007
    • Prepared new customer service representatives with the skills needed to work in a mutual fund call center.
    • Taught customer service fundamentals, mutual fund operations and compliance responsibility.
    • Developed training curriculum that taught customer service reps how to explain fixed income yields to retail clients.
    • Key member of the team tasked with relocating the office from Colorado to Rhode Island, including staffing and training the new call center.
    Key Client Specialist01/2005 to 01/2006
    Sr. Customer Service Representative01/2004 to 01/2005
    • Selected to work with the high net worth clients and resolve complex issues.
    • Consistently ranked among the top CSRs.
    • Promoted to Key Client Group upon meeting time requirements within CSR role.
    • Created the daily internal Economic Update and news report to provide CSRs with talking points and generate awareness of likely questions for the day.
    New York Life Insurance CompanyFraser, COAgent01/2003 to 01/2004
    • Sales agent for life insurance, annuities and mutual funds.
    • Mutual fund sales leader for new Colorado agents.
    Winter Park, COCash Auditor01/2002 to 01/2003
    • Recruited from A/P to assist the cash auditing team.
    • Appointed to reconcile all financial transactions during the busiest day of each week.
    Ski School Sales Desk Supervisor01/2001 to 01/2002
    • Developed an enjoyable and cohesive work group culture that resulted in a 100% employee return rate the following season.
    Education and Training
    Bachelor of Arts:Business Administration and Entrepreneurial Management AccountingWestern Washington University, Bellingham, WashingtonBusiness Administration and Entrepreneurial Management Accounting
    Skills
    Accounting, A/P, Asset Management, auditing, benefits, Business Strategy, call center, contracts, Cost Reduction, Client, clients, customer service, Employee Training, financial, fixed income, funds, insurance, managing, access, office, Negotiations, improving process, Process Improvement, reporting, retail, Sales, staffing, structured, upgrade
    Additional Information
    • Current Securities License: Series 65 Investment Advisor (CRD# 4658154) Previous: Series 6, Series 63, Life, Health and Disability Insurance (Colorado and Washington) Certified Fund Specialist (CFS) - Institute of Business and Finance Salesforce.com administrator training TD Ameritrade Institutional Operations Advisory Panel (selected to represent the 4,000 RIA customers of TDAI)
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    Resume Overview

    Companies Worked For:

    • The Institute for Wealth Management
    • Columbia Funds
    • New York Life Insurance Company

    School Attended

    • Western Washington University

    Job Titles Held:

    • Chief Operating Officer
    • Chief Compliance Officer
    • VP of Operations
    • Corporate Trainer
    • Key Client Specialist
    • Sr. Customer Service Representative
    • Agent
    • Cash Auditor
    • Ski School Sales Desk Supervisor

    Degrees

    • Bachelor of Arts : Business Administration and Entrepreneurial Management Accounting

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