Director of Straight Thru Processing Resume Example

Managed a Team of 100+ associates servicing 500+ Advisors across the globe. Service was provided via call center and email communications as well as processing client transactions in accordance with financial planning recommendations.

• Implemented Data Driven changes to improve business processes and operational management.
• Designed a performance measurement structure across all Teams.
• Strongly influenced change to a meritocracy evaluation process.
• Empowered Team to take ownership in the Advisors / company success.
• Changed the culture from individualism to “all for one / one for all”.
• Introduced industry best practices around technologies and automation; considerably reducing unit costing.
• Initiated an audit readiness program designed to manage and control internal and external examinations.
• Reduced headcount by 30% while increasing department effectiveness 3x.

Managed business operations for UIT Transfer Agency and Call Center located at Dallas, TX and Tempe, AZ. Led 120+ member team in providing full transfer agency services to 20 Unit Investment Trust sponsors with more than 220,000 accounts and $35 billion in assets. Managed $8 million budget.

Transferred from Boston to improve internal audit performance rating of these 2 departments. Analyzed, changed, implemented, and oversaw operations, processes, policies, and customer management plans. Mentored and revived senior managers in implementing process improvements, turned around performance levels, carried out change, and managed daily operations. Improved internal and external communications, introduced employee empowerment and professional development programs, and reduced costs by negotiating more cost-effective vendor contracts.

Boston

• Recruited to steer 6-member team and direct a successful turn-around plan to retain a $380B at risk client.
• Created formal quality program incorporating risk / reward thresholds.
• Designed and introduced monthly reporting mechanisms, identifying baseline performance standards.
• Designed and implemented SLAs between JPMC and internal / external partners.
• Performed Role of Interim CCO for 2 Years •Developed and implemented Standardized Audit Response Model.
• Developed and implemented Standardized Business Emergency Model.
• Member of New Business development Team; collaborating on RFP responses.
• Toured India in search of business partnerships.

Dallas

• Developed expense management model resulting in significant impact to department bottom line by scrutinizing vendor invoice process, identifying inaccurate allocation of revenues, and partnering with other business units in sharing space.
• Identified gaps in business processes which exposed the department to financial, regulatory and reputational risks.
• Partnered with Risk Management to create and implement a department risk self-assessment program.
• Improved Audit Rating from an “F” to an “A”.
• Developed and implemented transition strategy to move UIT Business from JPM to BNYM.

Directed 30-member team focused on building and strengthening key partnerships with top tier firms across 5 distribution channels. Developed and executed annual strategy to increase organization's position in industry service delivery surveys. Fulfilled Customer Advocate role within Client Services department, shrewdly advancing satisfaction, quality, and performance levels of customer services, products, and service delivery.

• Acted as strategic market expert, advising and guiding Account Managers at business planning and tactical sessions.
• Developed tools and challenges using Kaizen methodologies to aid teams in exceeding the expectations of our clients and company.
• Managed 100-person call center.
• Developed, implemented and administered quality action program and premium services offering to high net worth investment professionals.
• Held a key position on both the XTRAC and WORLD CLASS development and implementation teams.