Complex Operations Manager Director resume example with 11+ years of experience
Highly accomplished professional with extensive experience in the financial and investment industry. Proven ability to create results in a fast paced environment. Conscientious leader demonstrating the ability to achieve high expectations of productivity in a changing and challenging work environment.
- FINRA Series 7, 9, 10, 63, and 65
- Operations/Project Management
- Credit/Risk Analysis
- Asset Allocation
- Workflow Efficiency
- Advisory Accounts
- Regulatory and Audit Affairs
- Retirement and Trust Services
- Client Relation Management
- Cost Reduction/Budgeting
- Securities Trading
- Account Reconciliation
- Investment Compliance
- Custodial Reconciliation
Minors: Business and Communications
Twin Falls, ID, 02/2014 - 2015
Responsible for the daily oversight and management of all operational processing within a $90MM annual revenue complex. Integral member of the management team that aided in leading the Mid-Ohio Complex by offering exceptional service to clients as well as colleagues. Led a skilled team of investment associates to achieve an exceptional reputation of efficiency in the processing of financial and investment transactions.
- Developed operational policies and procedures that reduced risk while simultaneously increasing revenues.
- Assisted in resolving complex client inquiries to meet outstanding service level requirements.
- Trained new employees, provided ongoing coaching/feedback, recognition, development and performance management.
- Main point of contact for operational inquiries from the Home Office, Regional, and other branch associates.
- Oversee and approve new accounts, client correspondence, advisory account inception, and investment processing errors.
- Reviewed internal procedures and provided feedback to home office staff and senior management in order to improve firm practices.
City, STATE, 08/2010 - 02/2014
Responsible for compliance policies and education of 17 retail branches within the Southern Ohio Market. Accountable for audit preparation and compliance supervision of Financial Advisors, Sales Associates, and client accounts. Performed routine regulatory, compliance, and operational reviews within the market to be sure control requirements were adhered to within each branch.
- Visited branches on a monthly basis to conduct team member meetings and offer educational training in order to reinforce firm policies and procedures leading to more informed and efficient branches.
- Conducted daily reviews of accounts to ensure proper asset allocation mix aligned with client investment objectives.
- Maintained oversight of branch correspondence, approval of new accounts and service requests, compliance advertising review forms, seminar review/approval, syndicate review/approval, FA outside activity review, client complaints, client suitability of financial products, security solicitation, option agreement review, KYC, managed/discretionary account review/approval.
- Assist in the preparation of audit controls, interpretations of rules and other regulatory guidance.
City, STATE, 01/2005 - 08/2010
Responsible for the oversight and approval of all operational service requests for the Southern Ohio Market. This entailed covering order errors and trade corrections, approving check, ACH, fed wire, journal, IRA distribution/contribution, account updates, stock certificate processing, etc.
- Worked closely with the management team to ensure all operational aspects within the market were being properly executed and escalated as necessary.
- Designed and implemented service metric requirements to enhance the client experience.
- Developed an in-depth knowledge of legal procedures surrounding the death of clients. Used this knowledge to train and mentor other firm associates.
- Acted as the team leader of the operations area supervising a group of 8 associates in a call center environment.
City, STATE, 05/2003 - 01/2005
Worked in conjunction with branch Financial Advisors in identifying and acquiring new clients as well as maintaining existing accounts. Handled client account inquiries and financial transaction requests.
- Responsible for opening client accounts and documentation collection.
- Involved in deepening the client and team relationships through one on one interaction that included client phone calls and follow up.
- Process and track account transfers.
- Computer Skills- Microsoft Office, Operational Systems, Reuters, Thompson One, navigational skills
- Solid communication, time management, analytical, organization, and leadership skills.
- Proven ability to effectively handle multi-task levels of management responsibility with minimal direction from superiors while supervising personnel, providing team leadership, motivation, and development.
- Ambitious attitude with the ability to easily grasp new ideas, concepts, methods, and investment techniques.
- Two time recipient of the Wachovia Securities Excellence First Award
- Outstanding Performance Evaluation throughout tenure
- Selected as a Conversion Partner during the Wachovia/AG Edwards merger to perform employee systems training and support
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Resume Overview
School Attended
- Ohio University
Job Titles Held:
- Complex Operations Manager, Director
- Market Compliance Officer, Assistant Vice-President
- Southern Ohio Market Operations Liaison, Officer
- Sales Associate
Degrees
- Bachelor of Business Administration
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