Daniel Jones Email & Phone Number

Toronto, On, Ca

Burlington, Ontario, Canada

As the Head of Professional Services, I play a pivotal role in ensuring the successful implementation and delivery of our IFS solutions to clients. Key responsibilities include:🔹Leadership and Team Management:- Supported the reorganization and alignment of the Professional Services team, fostering a culture of collaboration, innovation, and excellence.- Established clear goals, expectations, and KPIs for the team, driving continuous improvement.🔹Client Engagement:- Develop and maintain strong relationships with key clients, understanding their unique needs and challenges.- Collaborate with Sales and Product teams, contributing to pre-sale conversations for a seamless transition from sales to implementation.-Act as a trusted advisor to clients, providing insights and recommendations on best practices for utilizing our solutions.🔹Project Management:- Oversee the end-to-end delivery of IFS solutions, ensuring projects are delivered on time, within scope, and within budget.- Support both on-prem and hosted (Azure and AWS) environments.- Developed and implemented robust project management processes, methodologies, and tools to optimize efficiency and quality.- Monitor project risks and proactively implement mitigation strategies to ensure successful project outcomes.🔹Continuous Improvement:- Drove continuous improvement initiatives within the Professional Services function, identifying areas for optimization and efficiency gains.- Stayed informed about industry trends and best practices, incorporating relevant advancements into our service delivery approach.- Partner with product teams to identify opportunities for innovation and enhance our IFS solutions.

Burlington, Ontario, Canada

As a Business Solutions Architect, I played a pivotal role in shaping and optimizing client-centric strategies across product development, sales, and professional services. My responsibilities included:🔹Client-Centric Solutions: Identified, documented, and prioritized client-specific needs within product requirements, sales strategies, and professional services planning. Developed a keen understanding of the unique operational objectives of our financial services clients and utilized this in both a pre-sale and product roadmap capacity.🔹 Operational Efficiency: Applied a deep understanding of client operations to drive efficiencies in communications, implementations, and ongoing product offerings. Collaborated with cross-functional teams to ensure seamless execution and client satisfaction.🔹Strategic Messaging: Worked closely with Sales and Marketing teams to identify and proactively communicate solutions and offerings that added significant value for both potential and existing clients. Crafted compelling messaging to effectively position our solutions in the market.🔹Subject Matter Expertise: Provided subject matter expertise by establishing a regular cadence with internal leaders and external partners. This ensured a cohesive strategy aligned with the evolving needs of clients and the industry.Throughout my tenure, I consistently contributed to the success of the organization by bridging the gap between client requirements and business solutions. This role allowed me to leverage my skills in strategic planning, client engagement, and cross-functional collaboration to drive positive outcomes.

Phoenix, Arizona Area

As Vice President of Sales Supervision at Advisor Group, I held a strategic role in driving regulatory compliance, process optimization, and organizational growth. Here are the key highlights of my tenure:🔹 Supervision Pre-Approval Ownership: Led the Supervision Pre-Approval process for all Advisor Group member firms, reporting directly to the Chief Supervision Officer. Owned and executed end-to-end oversight, ensuring adherence to internal and regulatory standards.🔹 Regulatory Compliance Excellence: Successfully implemented Reg BI's Duty of Care requirements on pre-approved products, underscoring a commitment to regulatory excellence and proactive adherence to evolving industry standards.🔹 Procedural Expertise: Developed and maintained comprehensive Written Supervisory Procedures (WSPs) and Operating Procedures for the pre-approval of Variable Annuities, Fixed Indexed Annuities, and Alternative Investments.🔹 Team Leadership and Suitability Standards: Managed a dynamic organization consisting of 3 managers and 30+ principals. Ensured the team's commitment to upholding suitability standards and meeting service level agreements.🔹 Professional Development Initiatives: Created and delivered impactful training sessions to over 300 Advisor Group Financial Professionals in a conference setting. Contributed significantly to their professional development while fostering compliance awareness across the organization.🔹 Strategic Contributions: Played a pivotal role in establishing staffing and regulatory recommendations, presenting to Executive Leadership on multiple occasions. This strategic input resulted in the expansion of pre-approval processes and the selection of a new Electronic Order Entry vendor, driving operational efficiency.My tenure as Vice President reflects a comprehensive approach to leadership, regulatory excellence, and strategic decision-making, contributing significantly to the success and growth of the Advisor Group during this period.

Minneapolis, Minnesota

Owned and led Questar Capital's and Questar Asset Management's (wholly owned subsidiaries of Allianz Life) Field Supervision Program, reporting directly to the Chief Operating Officer. Position concluded due to the broker-dealer's representative acquisition by Advisor Group.🔹 Developed and maintained a robust supervisory structure, overseeing 11 employees and 30 field supervisors, ensuring effective support for 650+ financial representatives across 49 states.🔹 Established procedures to guarantee the sales practices of financial representatives aligned with FINRA, SEC, state jurisdictions, and Questar's Written Supervisory Procedures (WSPs).🔹 Implemented firm guidelines regarding discipline and took necessary actions, including fines, to uphold compliance standards.🔹 Created and executed Questar Capital's annual internal audit program through the RegEd platform.🔹 Successfully collaborated with the Chief Compliance Officer to navigate the broker-dealer through a FINRA cycle exam, SEC cycle exam, and numerous state audits.🔹 Identified firm risks and recommended potential remediation options to senior leadership, contributing to proactive risk management.

Greater Minneapolis-St. Paul Area

Drove comprehensive oversight as a Supervision Principal for a sizable region of Financial Advisors, Registered Assistants, and Unlicensed Staff, ensuring regulatory compliance and adherence to industry standards.🔹 Headed a team of four suitability principals, directing the meticulous review of equity, mutual fund, UIT, and fixed-income transactions to guarantee adherence to compliance standards.🔹 Played a key role in providing suitability determinations for escalated trades and new accounts, contributing to effective risk management and regulatory compliance.🔹 Conducted impactful large-scale field-facing educational calls, addressing identified risks and trends, fostering a culture of awareness and responsibility among team members.🔹 Collaborated closely with field leaders and relationship managers, proactively identifying areas of concern and developing potential solutions within their Office of Supervisory Jurisdictions (OSJs).

Greater Minneapolis-St. Paul Area

🔹 Spearheaded a high-performing team driving growth across 160+ individual franchises, resulting in over $125 million in Gross Dealer Concession (GDC).🔹Increased profitability and performance of the region, moving from 18th out of 22 upon my start to 3rd after 2 years.🔹 Oversaw a dynamic team comprising a financial advice sales consultant, a technology ambassador, and a franchise engagement manager in identifying growth opportunities and strategically allocating resources in the Pacific Southwest region.🔹 Provided mentorship to advisors on client acquisition techniques, conducted thorough dives into books of business to uncover growth opportunities, and offered business structure coaching for enhanced performance.🔹 Actively participated and presented in recruiting meetings, contributing insights on marketing support and elucidating growth opportunities to potential recruits.

Greater Minneapolis-St. Paul Area

🔹 Successfully onboarded and transitioned over 60 advisors, representing over 4 billion in Assets Under Management (AUM).🔹 Traveled to newly affiliated financial advisors, providing comprehensive training on key systems and facilitating processes such as new account opening, transfer processing, client-level suitability review, client meeting coordination, and SMA/UMA mapping.🔹 Served as the primary point of contact for any concerns during an advisor's first 120 days, ensuring a smooth integration into the organization.🔹 Proactively identified potential risks to timely asset movement and engaged key stakeholders to resolve issues promptly.