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 errors, processed optional reorganizations as well as the review and trading of alternative investments such as REITs, hedge funds, etc. • 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 engagement.• 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 increased engagement scores annually for four consecutive years.• 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 profitability. • 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.