Experienced Financial Services Senior Leader with over 35 years of successful leadership of operations, service, and business process development Teams while always keeping the client's best interests first and foremost. Successfully managing effective and efficient client service delivery models while developing a change strategy and leading evolutionary transformation from manual paper-based processes to digital straight thru processing all while enhancing a culture of compliance. Along the way I have honed my skills as a successful and effective business partner; managing key business relationships to a true “Win-Win” partner status. A servant leader who understands the importance of culture in the success of any organization; culture being formed the entire eco-system of clients, associates, and business partners.
Created a vision for a fully automated sales and service delivery model allowing our Advisors to support their clients in an omni-channel environment. Successfully built a scalable foundation of industry accepted technologies to meet the business, regulatory and product needs. Turned vendor relationships into mutually successful business partnerships.
• Developed and implemented a product agnostic foundation to support automated sales and servicing of client investment accounts and insurance policies.
• Managed RFP Process evaluating and selecting technology providers.
• Led implementation of leading edge integration of business processes with core systems.
• Successfully negotiated and renegotiated vendor contracts to ensure products and services met the business needs and expectations of the organization while maintaining a pricing model which was satisfactory to both parties.
• Built a Vendor Scorecard process to evaluate and communicate the quarter impact a key-business partner was having on First Command ability to deliver on our mission.
• Maintained an industry presence to stay abreast of evolving client behavior, technology offerings, and regulatory requirements.
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.
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.
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.
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