Results driven professional offering over 14 years of leadership and managerial experience with extensive knowledge in operations and middle office support. Demonstrates a proven ability to developing effective client services for high net worth individuals and internal clients. Instrumental in delivering a white glove client experience, launching new products and services, automating processes, managing risk, and implementing efficiencies leading to significant cost savings. A hands-on manager, with vision and a creative self-starter attitude that is passionate about driving the client experience and delivering optimal business results. Strong management and leadership skills with ability to motivate staff and maximize productivity. Adaptable to change and fast paced environment, with exceptional communication and training skills.
MANAGEMENT: Successfully developed and organized team from scratch to provide full service Middle Office services for $18 Billion Private Banking division. Handled all recruitment, training and development, and implementing standardized procedures and work-flows.
CLIENT EXPERIENCE: Spearheaded the design, content, and launch of a national screen saver campaign to promote client service awareness, share best practices, and improve customer experience.
CLIENT EXPERIENCE: Selected by Corporate Operating Officer to participate in Group Private Bank Client Experience Program in London, UK including five day customer experience training and active discussion with Senior Executives on the strategic planning and roll out of global client experience initiatives across bank.
OPERATIONS MANAGEMENT: Managed the successful off-shoring of key operational functions without disruption to service levels.
COMPLAINT MANAGEMENT: Successfully implemented a centralized, robust complaint management program recognized throughout organization for providing Best In Class practices. Invited by Group Chief Operating Officer to present comprehensive overview of the process to the Global COO Executive Committee and collaborate globally to implement similar best practices in other regions.
AUDIT: Proven track record of consistently passing audits and internal examinations with exceptional results.
RECOGNITION: The recipient of various awards, recognition, and selected honors including STAR Awards for dependability and service (2013); Round table luncheon with Group CEO (2013), Talent Team (2013), Culture Champion (2014).
Middle Office and General Services Manager (06/10 to Present)
Report to Senior Vice President, Head of Service Delivery
Manage team of 8FTE and daily activities of the following groups: Middle Office, General Services / Mail Room, and Client Complaint teams. Provide the Head of Service Delivery with management and oversight support of the Document Control and Account Opening, Control/Accounting, and Operational Tax departments. Provide office administration including Building Safety Teams support, Facilities and Vendor management, staff records and inventory controls. Head the Private Bank Customer Complaint program for all U.S. businesses. Oversee and manage relationship and service level agreements with Offshore support teams in Bangalore, India. Assist with strategy, planning, and establishing support in Manila, Philippines. Manage support of department wide Disaster Recovery and Business Continuity Planning. Provide comprehensive banking, securities, and investment product support to various Private Bank businesses, onshore and offshore relationship managers, and Investment Products groups (Hedge Fund program, offshore private equity, Strategic and Customized Solutions products). Manage record retention, imaging, filing, pouch, statement mailing, hold mail, checkbooks, and general services for the office.
Middle Office Manager (05/05 to 06/10) Promoted to Vice President (2008)
Reported to Senior Vice President, Head of Operations
Managed staff of 4FTE in the middle office providing securities and investment products support. Provided settlements, corporate actions, income, and reporting support. Responsible for defining business requirements of trade entry systems and testing for quality assurance. Managed trade support for fixed income, equities, options, derivatives, and fund orders including reconciliation, fail control, and exception monitoring. Handled customer complaint management and reporting. Instituted proper controls and procedures to reduce risk and minimize bank exposure.
Securities Operations Supervisor (12/03 to 04/05) Promoted to Assistant Vice President (2005)
Supervised staff of 4. Ensured securities investigations performed timely and efficiently. Performed various reconciliations and reporting around trade settlements and investment activities. Monitored trade orders for compliance with local policy, audit and regulatory requirements. Provided oversight and monitoring of Brokerage trade processing, settlements, and pricing areas. Assisted with the EFOS trade entry system conversion and implementation of straight through processing.
Securities Operations Analyst (12/02 to 12/03) Hired permanent as Officer (09/03)
Reported to Head of Securities Operations
Coordinated, developed, and implemented new trade order system. Ensured securities orders in accordance with audit, compliance, and regulatory requirements. Monitored security pricing for accuracy and timeliness. Reconciled front office trade orders to back office systems. Analyzed various transactions and exception reports. Assisted with systems conversions ensuring minimal impact to client service. Prepared training materials and securities procedures in compliance with international tax laws and audit requirements. Provided cross training to several members of the team. Investigated and resolved client complaints and securities investigations in a timely manner. Supported various ad-hoc projects.
Research Analyst: Performed database management of the Global Customer Database. Analyzed static data and maintained data integrity by performing industry analysis on records. Successfully performed functions of the Accounts Opening Process through the use of CRES system, MS Excel, and MS Access to assign CCDB id's to clients. Supported Credit Risk Controlling in their month-end and quarter-end reporting to the Bundesbank. Identified and resolved problems and designed procedures to assure data quality and efficiency.
Fixed Income - New Accounts: Set up new accounts in an efficient and competent manner ensuring all rules and regulations were complied with. Monitored and maintained the NAOP database. Responsible for the research and set up of US and international securities in the firm's securities master file via use of Bloomberg and other industry vendors. Worked closely with traders to provide relevant, accurate and up to date information on prospective and existing customers in a timely manner.
Assisted top producing financial consultants with functions of their business. Marketed financial services to high net worth individuals, Performed cold calling acquiring leads of prospective customers. Organized various seminars and investment workshops and accomplished a working knowledge of the securities industry.
Acquired licenses for Series6,Series63, and New York State Life Insurance. Assisted representatives in daily operations with database management. Developed and implemented market techniques used in financial planning. Prepared retirement needs and college needs analysis reports and provided technical and administrative support.
Member of Sigma Iota Epsilon, Honorary Management Fraternity
Cumulative GPA: 3.4 Major GPA: 3.6
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