Clint Smith Email & Phone Number

Westlake, Texas, Us

• Accountable for the management and oversight of all operational teams in multiple locations that process requests for TPA’s and Independent Recordkeepers in the retirement industry.• Owner of all operational processes including: trading operations (mutual fund, equity, non-market and AI), account and asset set-up, cash operations, distributions, fee billing, account reconciliations, tax reporting and remittance, operational control, workflow development, Salesforce development and other related operational functions for a $200 Billion Trust Company.• Responsible for setting the operational vision, building operational strategies, partnering with our client service teams, developing leadership talent and ensuring a high level of employee engagement.• Direct reports include four Managing Directors with a total organization of 86 employees.

Westlake, Texas, Us

• Led and managed the Asset operations teams for the Trust division of Charles Schwab Bank, with teams in multiple geographic locations.• Owned all of the trade execution, account reconciliation, dividend posting, client and asset set-up portion of the business for operations.• Responsible for building operational strategies, building continued efficiency and building an effective metric structure to ensure the highest quality and timeliness of work being completed.• Direct reports included one Director and three managers with a total organization of 41 employees.

Westlake, Texas, Us

• Responsible for development and delivery of key components of the new SIA product including Receipts, Distributions, ERISA Compliance, Internal Reporting, Trading and Trust/Custody services.• Provided oversight and direction to the project process. Working with and providing guidance to the Project managers, Business analysts and Subject Matter Experts for each of the project tracks.• Motivated and influenced across the organization. SIA crossed over several Schwab entities and business lines which require the building of key contacts across the firm including Broker Dealer, Bank, Trust and RPS in order to move the project forward.• Designed, prepared and presented complex concepts across the firm to key individuals in Legal, Technology and the business to obtain consensus and support for SIA processes.

Westlake, Texas, Us

• Accountable for the oversight of operational teams in multiple locations that process requests for our bundled 401(k) plan sponsors and plan participants.• Owned the Receipts portion of the business for operations. Responsible for building operational strategies, building continued efficiency and identifying and closing gaps in operational processes. • Direct reports included several Sr. Managers and Managers with a total organization of 60+.

Valley Forge, Pa, Us

• Responsible for the management of the Client Services and Operations units in the Scottsdale location and remotely reported directly to the officer running the division in the Pennsylvania office.• Responsible for servicing Vanguard’s institutional intermediary clients and included three separate phone teams, a processing team and various specialty positions.• Direct reports included three managers, the department Administrative Assistant and two individual contributor specialty positions. A total of 30 direct and indirect reports in the department.

Valley Forge, Pa, Us

• Responsible for the management of a recordkeeping team in Vanguard’s institutional 401(k) business servicing 11 large clients with over $3.8 billion of assets.• Direct reports included seven Account Administrators and one Operations Manager. The Account Administrators serviced 401(k) plan sponsors on a day to day basis and partnered with the Relationship Managers on client strategy. The Operations Manager led a team of processing associates who completed transactions for the plan sponsors and the participants in the plans.

Valley Forge, Pa, Us

• Ownership of 15 full service 401(k) relationships totaling over $1 billion of assets• Internal “quarterback” of the Vanguard team partnering across the organization with the Recordkeeping team and other support departments to service the plan sponsors and their consultants. Interfaced with all levels of the clients’ organization including CEO’s, CFO’s and benefits committees.

Valley Forge, Pa, Us

• Supported 5 full service 401(k) clients on a day-to-day basis including interfacing with the clients’ human resource, benefits and IT teams.• Strong knowledge of ERISA and technical knowledge of the Vanguard recordkeeping systems built.

• Responsible for the management of the Phoenix call center budget, accounts payable and facilities

• Managed and developed a team of twenty-five customer service associates in a call center environment.

• Assisted team leader in managing and developing all new hires as they joined the Aetna call center.

• Handled customer requests and inquires on multiple retirement products.

Bachelor Of Science (B.S.), Finance, Accounting

Education record