Bob Buckingham Email & Phone Number

Dallas, Texas, US

• Assist the firm with their conversion to self-clearing and development of appropriate policies and procedures.
• Manage daily trade settlement entries and wires.
• Reconcile daily dividends to ensure firm accounts were in balance.
• Monitor systems for any money and/or position breaks and use appropriate tools to resolve them.
• Review trades throughout the day and provide large trade notifications when necessary.
• Guide firm in establishing limits for equity/option trades and how to develop monitoring and review to minimize risk to the firm while maximizing client experience.

Jersey City, New Jersey, US

• Supervised multiple teams of brokers in several locations who placed equity, mutual fund, and option trades, reviewed orders that hit risk thresholds, managed allocation rejections, corrected both firm and advisor.
• Exceeded service level agreements for answering phone calls, reviewing orders, and customer satisfaction indices for five consecutive years.
• Observed, evaluated, and recommended process improvements designed to increase efficiency and improve quality through LEAN. Beat problem-solving goals for five consecutive years which increased both client and employee.
• Cultivated a high-performing environment for direct reports by setting expectations, providing direction and feedback, and fostering a positive environment of continuous improvement and development which resulted in.
• Developed and maintained close relationships with internal contacts to ensure that any open issues were resolved promptly so that client relationships were safeguarded which resulted in increased revenue and.
• Identified top talent and provided professional development opportunities for direct and indirect reports while giving regular feedback to aid in the development of talent.

Omaha, NE, US

• Oversaw a call center with multiple teams of brokers who placed equity, mutual fund, and option trades.
• Managed daily trades, allocations, and corrections to ensure firm risk was managed properly.
• Coached and mentored managers and representatives to promote career development.
• Reviewed calls to ensure quality of interactions and compliance with industry procedures.
• Oversaw all internal and external audits which resulted in satisfactory or better results.
• Reconciled all internal error accounts to ensure regulatory compliance and risk management.