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Executive Director/Business Head Resume Example

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EXECUTIVE DIRECTOR/BUSINESS HEAD
Experience
Executive Director/Business Head, 05/2013 to Current
UBS Financial, Inc
  • An accomplished professional with extensive experience in the financial service industry who has spearheaded corporate initiatives from both a strategic and tactical perspective.
  • Possesses strong management, leadership and communication skills with a proven ability to adapt to change while building collaborative teams and motivating people in an increasingly complex and regulatory environment.
  • Responsible for all marketing, compliance, training, product development and sales of insurance products: permanent, term, disability income, long-term care products, Corporate Owned Life Insurance and property and casualty insurance products;.
  • Work in collaboration with National Sales and the Field Sales Managers to develop marketing and sales campaigns for Financial Advisors to drive insurance sales and new assets under management.
  • Rolled out a new insurance order entry system in October 2016 shifting 90% of the responsibilities from the Financial Advisor to the General Agency;.
  • Managed the rollout of the Gateway Reserve Insurance Network, a network of select member firms of M Financial Group chosen by UBS to provide its UHNW clients with high-touch white-glove concierge insurance services;.
  • Responsible for the over sight of the General Agencies, Third Party Administrators and Insurance Carriers approved on the platform.
GWM, Executive Director, 01/2003 to 05/2013
Morgan Stanley Smith Barney
  • Responsible for the overall management of seventeen life insurance carriers and thirteen vendor relationships that provide insurance related services to the firm;.
  • Managed all products offered on the platform (including permanent and Corporate Owned Life Insurance products, term insurance, health and welfare products - long term care, disability income, group health plans and cafeteria plans) and marketing initiatives for the group;.
  • Relationship manager for the life insurance carriers, General Agencies and Third Party Administrators for the business.
  • Managed an internal team of fifteen individuals: (product and sales support individuals);.
  • Worked in tandem with other areas of the firm: Compliance, Legal, Operations, Technology and Risk Management;.
  • Spearheaded the 2012 Morgan Stanley Smith Barney conversion for the Insurance Group and the integration of the business and harmonization of processes;.
  • Led the 2009 Joint Venture initiatives for the Smith Barney and Morgan Stanley channels; Continued to oversee the Citigroup Life Agency insurance business through 2011.
First Vice President, Product Manager, 04/1998 to 01/2003
Smith Barney
  • Relationship manager for five strategic partners that provided third party administrative services for Corporate Owned Life Insurance plans;.
  • Designed and implemented a discounted stock option plans funded with mutual funds for use by the financial advisors;.
  • Implemented audit processes and created a revenue-tracking tool for product offerings;.
  • Documented all transactions, procedures and automated the administrative functions;.
  • Developed a co-branded website for Smith Barney retail sales force to leverage sales;.
  • Liaison between department and the retail sales force for all licensing/appt issues.
First Vice President, Department Manager, 04/1988 to 04/1998
Smith Barney Shearson
  • Responsible for the administration of executive nonqualified deferred compensation retirement income plans (funded with options, mutual funds and/or treasury bills) for the twelve thousand; retail sales force group (including the branch managers) and the Limited Partnership Plans offered to the senior members of the firm.
  • Managed an internal team of ten individuals;.
  • Served as a key player in the Salomon Smith Barney merger (including the negotiation and segregation of assets with the New York Stock Exchange and Chicago Board of Trade) and the spin-off of Lehman Brothers Inc;.
  • Provided monthly reporting of subordinated and non-subordinated debt asset segregation to the NYSE - nine hundred million in capital assets;.
  • Interfaced with senior members of the Accounting, Legal, Payroll, Tax and Treasury areas of the Firm; Team was also responsible for P&L entries, payroll submissions and balance sheet reporting;.
Work History
Executive Director/Business Head, 05/2013 to Current
UBS Financial, Inc
  • An accomplished professional with extensive experience in the financial service industry who has spearheaded corporate initiatives from both a strategic and tactical perspective.
  • Possesses strong management, leadership and communication skills with a proven ability to adapt to change while building collaborative teams and motivating people in an increasingly complex and regulatory environment.
  • Responsible for all marketing, compliance, training, product development and sales of insurance products: permanent, term, disability income, long-term care products, Corporate Owned Life Insurance and property and casualty insurance products;.
  • Work in collaboration with National Sales and the Field Sales Managers to develop marketing and sales campaigns for Financial Advisors to drive insurance sales and new assets under management.
  • Rolled out a new insurance order entry system in October 2016 shifting 90% of the responsibilities from the Financial Advisor to the General Agency;.
  • Managed the rollout of the Gateway Reserve Insurance Network, a network of select member firms of M Financial Group chosen by UBS to provide its UHNW clients with high-touch white-glove concierge insurance services;.
  • Responsible for the over sight of the General Agencies, Third Party Administrators and Insurance Carriers approved on the platform.
GWM, Executive Director, 01/2003 to 05/2013
Morgan Stanley Smith Barney
  • Responsible for the overall management of seventeen life insurance carriers and thirteen vendor relationships that provide insurance related services to the firm;.
  • Managed all products offered on the platform (including permanent and Corporate Owned Life Insurance products, term insurance, health and welfare products - long term care, disability income, group health plans and cafeteria plans) and marketing initiatives for the group;.
  • Relationship manager for the life insurance carriers, General Agencies and Third Party Administrators for the business.
  • Managed an internal team of fifteen individuals: (product and sales support individuals);.
  • Worked in tandem with other areas of the firm: Compliance, Legal, Operations, Technology and Risk Management;.
  • Spearheaded the 2012 Morgan Stanley Smith Barney conversion for the Insurance Group and the integration of the business and harmonization of processes;.
  • Led the 2009 Joint Venture initiatives for the Smith Barney and Morgan Stanley channels; Continued to oversee the Citigroup Life Agency insurance business through 2011.
First Vice President, Product Manager, 04/1998 to 01/2003
Smith Barney
  • Relationship manager for five strategic partners that provided third party administrative services for Corporate Owned Life Insurance plans;.
  • Designed and implemented a discounted stock option plans funded with mutual funds for use by the financial advisors;.
  • Implemented audit processes and created a revenue-tracking tool for product offerings;.
  • Documented all transactions, procedures and automated the administrative functions;.
  • Developed a co-branded website for Smith Barney retail sales force to leverage sales;.
  • Liaison between department and the retail sales force for all licensing/appt issues.
First Vice President, Department Manager, 04/1988 to 04/1998
Smith Barney Shearson
  • Responsible for the administration of executive nonqualified deferred compensation retirement income plans (funded with options, mutual funds and/or treasury bills) for the twelve thousand; retail sales force group (including the branch managers) and the Limited Partnership Plans offered to the senior members of the firm.
  • Managed an internal team of ten individuals;.
  • Served as a key player in the Salomon Smith Barney merger (including the negotiation and segregation of assets with the New York Stock Exchange and Chicago Board of Trade) and the spin-off of Lehman Brothers Inc;.
  • Provided monthly reporting of subordinated and non-subordinated debt asset segregation to the NYSE - nine hundred million in capital assets;.
  • Interfaced with senior members of the Accounting, Legal, Payroll, Tax and Treasury areas of the Firm; Team was also responsible for P&L entries, payroll submissions and balance sheet reporting;.
Education
BA: Economics and SociologyQueens College
Summary
Professional Objective: A results-driven, dedicated professional and proven leader, looking to be part of a senior management team, where my professional background will add value and allow for professional growth.
Highlights
  • Accounting
  • Administrative
  • Administrative functions
  • Agency
  • Balance sheet
  • Communication skills
  • Conversion
  • Clients
  • Financial
  • Financial Advisor
  • Funds
  • Gateway
  • Insurance
  • Insurance sales
  • Leadership
  • Legal
  • Long-term care
  • Marketing
  • Marketing and sales
  • Exchange
  • Negotiation
  • Network
  • Order entry
  • Payroll
  • Processes
  • Product development
  • Reporting
  • Retail sales
  • Risk Management
  • Sales
  • Sales support
  • Strategic
  • Tandem
  • Tax
  • Treasury
  • Website
Skills
  • Accounting, administrative, administrative functions, Agency, balance sheet, communication skills, conversion, clients, Financial, Financial Advisor, funds, Gateway, Insurance, insurance sales, leadership, Legal, long-term care, marketing, marketing and sales, Exchange, negotiation, Network, order entry, Payroll, processes, product development, reporting, retail sales, Risk Management, Sales, sales support, strategic, tandem, Tax, Treasury, website
    • Additional Information
    • Licenses: , Life and Health, Property & Casualty, Series 7, Series 24 and Series 63 President of the UBS Life Insurance Agency since 2014
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    Resume Overview

    Companies Worked For:

    • UBS Financial, Inc
    • Morgan Stanley Smith Barney
    • Smith Barney
    • Smith Barney Shearson

    School Attended

    • Queens College

    Job Titles Held:

    • Executive Director/Business Head
    • GWM, Executive Director
    • First Vice President, Product Manager
    • First Vice President, Department Manager

    Degrees

    • BA : Economics and Sociology

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