Buffy Smith Email & Phone Number

Plano, Texas, Us

Plano, Texas, Us

Worked with CEO and Director of Operations to analyze client service and operations functions and strategically develop an Asset Management Operations Team. This team was developed to help centralize a processing group and alleviate cross functional processes being completed by one person and ensure separation of duties to meet SEC regulations. As manager of the team, I oversee the development of new processes, write procedures, ensure each process meets compliance standards, increases the firm’s productivity and helps reduce risk to the firm and the clients. Recently acquired new function of the firm are administrator of the firms Salesforce CRM and ORION data integration system. Working with developers to design and develop a new Salesforce CRM called Financial Services Cloud (FSC) and movement of all data integration from AppCrown to ORION for a more stable flow of client information, AUM and account level asset holding data. Worked on an internal team which included the managers of operations, compliance, client service and learning and development to identify processes that needed to be improved upon. We would review the processes to ensure that all risk was mitigated, the new process helped alleviate redundancy in the client service and advisors roles, developed SOP’s and training which could be rolled out to internal teams with little disruption to the current day to day business. Processes overseen to date are advisor compensation payments, client billing, daily processing of cash and trade transactions for TD Ameritrade and Ameritas clients, market portfolio reallocations for SEI, TD Ameritrade, Ameritas and Transamerica clients, investigate and resolve data breaks in the Salesforce and ORION systems, investigation and resolution of escalated custodian issues and working with the Director of Operations on client and custodial specific projects.

Plano, Texas, Us

Promoted to Client Service Manager to manage risk to the firm and client accounts by managing a team of Client Service Administrators all while still maintaining my previous duties as a Client Service Administrator. Oversight to ensure cases and emails are being addressed accurately and timely, provide guidance for system processing and an escalation point. Team is responsible for tasks such as opening accounts, contributions, distributions, account changes, strategy changes as well as overall client service for clients.

Plano, Texas, Us

Work with custodians (SEI and TD Ameritrade) to monitor and reconcile incoming assets and checks received to ensure timely delivery and proper investment for new client accounts. Monitoring of DCA's, AIP's, Check-writing and quarterly needs for rebalancing accounts to ensure strategies are maintained, and if needed rebalance. Monitor incoming stock and provide reports to advisers for analysis of holding or selling. Monitor cash report for cash not being invested. Serve on the CSA Board to promote CSA's concerns, ideas and set the standard for CSA's.

New York, Ny, Us

Oversaw a processing team, processes, audits, risk management and analysis, accounts, and customized reports for the clients while providing comprehensive updates monthly on statistics and capacity model to corporate. Collaborated with offshore partners on determining and correcting issues to maintain timely delivery. Extraordinary ability to thrive under pressure, organize priorities, and complete tasks within tight deadlines. Client Service: Managed a team with a premier client with Assets under Management (AUM) of $35B. Contributed during strategic planning sessions relating to vetting potential new client accounts. Utilized KYC (Know Your Customer) philosophies to guarantee that AML (anti-money laundering) signs are observed in client accounts. Operations Management: Implemented strategy for operations teams while collaborating with other internal teams and client service managers worldwide in an effort to more effectively meet client requirements and minimize operational risk to the company. Held responsibility of providing coaching and cross-training opportunities, enable cross-site transfer opportunities, and offer team feedback.Supervised client service and operations delivery management teams that settled cash and global/domestic trades for a client base of 250 Fund Managers.Team Collaboration: Joined efforts with internal teams on tasks such as wires, DTC, audit, risk management, directive processing, market settlements, network market management, and fund accounting to resolve cash and trade settlement issues in a timely manner.Managed the financial reporting team responsible for reconciling the books of the bank for the WSS (Investor Services and Institutional Trust Services).Drafted cash reports for internal and external clients to acknowledge balances and overdrafts. Reconciled the wire department’s incoming and outgoing wire general ledgers. Researched and analyzed domestic and foreign cash exceptions to identify resolutions.