Michael Dumont Email & Phone Number

Smithfield, Rhode Island, United States

As Onboarding Leader, I work closely with PI Regional Center leadership, business partners, and the onboarding team to ensure seamless integration for new hires. My role involves managing start dates, resolving complex and sensitive requests, and collaborating with internal teams to enhance onboarding processes, all while fostering a positive and inspiring candidate experience.Leadership & Strategic Initiatives: • Co-led the implementation of a Gig Economy model to support seasonal capacity and improve workforce flexibility. • Co-managed the national onboarding program for One Front Door Associates, streamlining the onboarding experience. • Partnered with key stakeholders to operationalize the Associate Experience (AEX) strategy, implementing Associate Listening Posts to gather feedback and improve the employee experience.Team Leadership & Results: • Directly led 2 managers and provided dotted-line leadership for 24 additional leaders supporting associate onboarding, licensing, and training development. • Successfully onboarded over 700 associates at the Smithfield Regional Center during its first year of operation. • Acted as the liaison between the national licensing team and the regional center, supervising 6 Licensing Mentors and achieving an 83% SIE pass rate and 81% Series 7 pass rate.Reporting & Recognition: • Team of the Year award recipient for contributions to the success of the One Front Door program, recognizing excellence in program execution and impact. • Prepared and delivered Quarterly Business Reviews to the Senior Leadership Team, driving alignment and performance tracking while on loan to the AEX team. • Recipient of the Q3 2021 & Q1 2023 Excellence in Action (EIA) awards for developing and executing the SMT Onboarding Program. • Participated in the Leadership Circle Profile professional development program alongside the Site SLT.

Denver, Colorado, United States

As a Team Leader in the WPA business group, I led a team of licensed Workplace Planning Consultants, delivering exceptional customer experiences and fostering long-term relationships through comprehensive financial planning and investment guidance. My focus was on coaching, developing, and mentoring my team to meet performance goals, enhance consultative selling skills, and ensure regulatory compliance. • Leadership & Mentorship: Mentored new leaders within the WPA function and through the Denver Leadership Program, supporting aspiring leaders transitioning to Client Services. • Talent Development: Recruited, onboarded, and created a development program for new associates, building a culture of accountability and success, evidenced by top 20% HUMU results. • Performance Excellence: Recognized with the Q2 Excellence in Action (EIA) award for leading the team to top 25% national performance across planning interactions, branch referrals, and appointments set during Q1 and Q2 of 2021. • Innovation in Client Interaction: Co-led a national initiative to reimagine the interaction model for all WPA client-facing associates, enhancing engagement and service delivery. • Talent Growth Initiatives: Served on the Denver Talent Development Council, focusing on the skill growth and leadership development of emerging leaders.

Denver, Colorado, United States

Recruited to lead a growing division focused on delivering remote advisory services to clients nationwide. Provided strategic leadership in operational development, team expansion, and client engagement while driving key business objectives and innovation in service delivery. • Strategic Leadership & Growth: Spearheaded the division’s strategic initiatives, including process optimization, role definition, and performance management, leading to a 26% year-over-year sales growth from 2016 to 2020. • High-Impact Client Engagement: Transitioned the team’s focus from low-complexity clients to serving high-net-worth individuals, significantly enhancing service quality and driving higher client value. • Innovative Client Interaction: Led the full-scale implementation of video chat meetings, pioneering face-to-face remote client advisory services, which were adopted firm-wide to enhance client relationships and service accessibility. • Client Experience Excellence: Achieved top 15% Net Promoter Score (NPS) and overall client experience metrics, positioning the division as a leader in customer satisfaction. • Team Restructuring & Talent Development: Built a highly effective team by recruiting and training top talent, including hiring an administrative assistant and four relationship managers. This structure provided robust support to advisors, enabling more efficient client engagement. • Cross-Functional Collaboration: Collaborated with internal teams, including the Rollover Specialist, Centralized Advice Group, and Financial Consultant team, to create operational scale and expand capacity, resulting in increased service delivery efficiency. • Training & Mentorship: Served as a subject matter expert in consultative selling, participating in new advisor onboarding and training to ensure proficiency in client meeting approaches and driving successful consultative client interactions.

Denver, Colorado, United States

Promoted to lead business development initiatives and execute national and local sales strategies to drive growth and engagement. Provided strategic oversight in sales reporting, analytics, and forecasting, with a focus on optimizing sales performance and increasing organizational alignment. • National Leadership & Strategy: Co-led the Investment Solutions function on a national scale, serving as a subject matter expert (SME) for internal stakeholders and driving key initiatives in net flows, variable compensation, sales tracking, and campaign administration. • Sales Campaign Development: Partnered with national business leaders to design and execute high-impact sales campaigns, resulting in improved client acquisition, product engagement, and associate participation. • Product Awareness & Education: Organized and coordinated site-wide roadshows in collaboration with key business partners to increase awareness of Fidelity’s product lines, leading to improved associate understanding and client-facing sales performance. • Leadership Engagement & Reporting: Provided direct support to site leadership through 1:1 meetings and comprehensive reviews, delivering key insights into sales metrics, forecasts, and performance strategies to optimize results. • Business Manager & Chief of Staff to VP of Sales: Served as a trusted advisor to the VP of Sales, leading critical initiatives including the recruitment and hiring of managers, developing high-level sales reporting for executive teams, overseeing the annual performance review process, and acting as the key liaison between the sales division and other Fidelity businesses in the local market. • Process Optimization & Stakeholder Collaboration: Led cross-functional efforts to streamline internal processes related to sales tracking, engagement guidelines, and product strategy, contributing to enhanced operational efficiency and alignment across teams.

Denver, Colorado, United States

Relocated to Denver to lead the establishment of Fidelity’s newest regional center. Recruited, developed, and managed a high-performing team of 5 Financial Consultants and 2 Relationship Managers with a primary focus on building, retaining, and growing client assets. • Top National Performance: Successfully led the team to achieve top national rankings in production and Net Promoter Score (NPS), positioning the Denver center as a leader in both sales and client satisfaction. • Innovative Training Program Development: Designed and implemented a tailored training program specifically for onboarding licensed professionals hired externally into the Financial Consultant role, ensuring smooth transitions and rapid proficiency in client engagement. • Sales Leadership & Coaching: Provided ongoing coaching, mentoring, and training to team members in consultative selling techniques, enabling them to refine their sales skills and consistently deliver superior client experiences. • Strategic Planning & Execution: Introduced quarterly business plans to drive tactical strategies, ensuring sustained performance across all key performance indicators (KPIs) and fostering a culture of continuous improvement. • Pilot & National Launch Leadership: Collaborated with national leadership to pilot the Territory Management Tool, overseeing its successful launch and implementation across the phone channel, further enhancing client service delivery and team efficiency. • Compliance & Supervision Expertise: Assumed full responsibility for team compliance and supervisory functions from April 2014 onwards, maintaining operational oversight as the incoming team manager transitioned into a licensed role.

Jacksonville, Florida, United States

Chosen to spearhead the launch of Fidelity’s Active Trader Services Group in Jacksonville. Collaborated with national and local leadership to build and train a high-performing team, establish operational processes, and set strategic priorities for this new location. • Strategic Launch Leadership: Led the expansion of the Active Trader Services Group by partnering with multiple business units across various sites, ensuring the successful development, implementation, and execution of a comprehensive training plan. • Cross-Functional Collaboration & Leadership: Served as the functional liaison within the extended Center Leadership Team, bridging the gap created by the absence of an on-site director and ensuring smooth operational continuity. • National Transformation Initiative: Directed a national transformation project, developing a weighted Active Trade stack ranking system to enhance transparency, engagement, and consistency across associate performance, driving improved results. • Client Relationship Management: Oversaw all client service issues, providing critical support to the trader network and maintaining strong client relationships. Led efforts to resolve escalations effectively and ensure timely solutions to complex service challenges. • Lead Generation & Business Growth: Identified and capitalized on opportunities to enhance dedicated advisor relationships, driving the generation of qualified leads and strengthening the connection between the trader network and Fidelity’s branch services. • Compliance & Accuracy Assurance: Ensured adherence to trade accuracy and compliance standards through rigorous reviews of daily trade blotter activity and regular client interaction monitoring, safeguarding both operational integrity and client trust.

Jacksonville, Florida, United States

Selected to as part of the leadership for the national launch of the Retirement Investment Solutions function, driving key initiatives to retain clients transitioning from workplace plans to retail relationships. Later assumed leadership of a team of Relationship Managers who managed high-net-worth clients, providing personalized financial guidance and cross-selling solutions through a consultative sales model. • National Leadership & Launch Execution: Partnered with key national stakeholders to successfully launch both the Retirement Solutions Team and the Retirement Relationship Manager role in 2011, ensuring a smooth transition to client-centric advisory services. • Strategic Planning & Sales Growth: Developed and executed comprehensive operating and sales plans aimed at maximizing client acquisition, retention, and asset consolidation, significantly enhancing the team’s ability to retain and grow high-net-worth client relationships. • Performance Tracking & Optimization: Collaborated with the Operations Team to create daily activity reporting and a monthly weighted scorecard, enabling precise measurement and tracking of team performance against key performance indicators (KPIs). • Cross-Functional Collaboration & Lead Generation: Fostered strong partnerships with national phone-based sales leaders and Branch Managers to streamline lead generation, qualification, and follow-up processes, driving a steady pipeline of qualified clients into the team’s portfolio. • Governance & Institutional Adherence: Provided national leadership as the site representative on the governing body responsible for overseeing role implementation and ensuring teams adhered to institutional retirement plan guidelines. • Compliance & Risk Management: Ensured full compliance by monitoring daily inbound and outbound client interactions and conducting monthly functional compliance audits, maintaining a high standard of regulatory adherence and risk mitigation.

Jacksonville, Florida, United States

Led and developed a highly engaged team focused on delivering exceptional client service and driving lead generation for high-net-worth clients. Provided strategic coaching and development to enhance sales interaction skills, utilizing a consultative model centered on an exceptional client experience. • Top 10% National Performance: Through personalized coaching and mentoring, the team consistently exceeded client experience goals, achieving recognition in the top 10% nationally across all key performance indicators (KPIs). • Operational Efficiency & Lead Generation: Developed and implemented routines that optimized lead flow, improved operational effectiveness, and enhanced trading proficiency, enabling the team to excel in both service delivery and lead generation. • Regionalization Pilot Leadership: Selected to participate in the pilot launch of regionalization with the Investor Center network, providing direct operational support to 12 branches in the southeast market, enhancing regional collaboration and performance. • Technology Integration & Leadership Representation: Represented the national leadership team on planning calls for the Siebel Integration and Case Management tool implementation, ensuring successful adoption and process integration across the team. • Career Development & Talent Cultivation: Partnered with Learning & Development and Talent Acquisition to design a proficiency-based career development model, supporting internal candidates pursuing roles within the Private Client Group, fostering growth and talent progression. • Compliance & Risk Management: Provided direct supervision of the team to ensure full compliance with regulatory standards, including monitoring client interactions, reviewing daily trade blotters, and conducting monthly functional compliance audits.

Jacksonville, Florida, United States

Led a team of licensed supervisors responsible for providing technical support and education on trading practices, risk management, compliance, and market activities. Oversaw the acceptance, processing, and resolution of trade disputes and inquiries, ensuring operational efficiency and adherence to regulatory standards. • Senior Risk Manager & Compliance Partner: Collaborated with the Compliance Director to serve as the senior risk manager for the regional center, providing strategic oversight on risk management and ensuring full compliance across all trading operations. • Subject Matter Expert (SME): Acted as the SME for regional center leadership, advising on risk management strategies, effective trading practices, procedural changes, and compliance policies. Led trader training efforts to improve performance and risk mitigation. • Team Reorganization for Customized Support: Reorganized the local Trade Support team to better align functions, providing specialized and tailored support to meet the unique needs of different trading operations, improving overall team efficiency and service delivery. • National Leadership & Strategic Initiatives: Served as the national lead for all Trade Support Managers, guiding the integration of Fidelity Managed Solutions into the Trade Support process. Developed risk controls for the successful launch of the Fidelity Personalized Portfolio, ensuring a seamless integration with existing systems. • Curriculum Development & Risk Expertise: Partnered with national Learning & Development teams to provide risk and trend expertise, leading to key updates in trader training curriculums to better address emerging risks and improve trader proficiency. • Compliance & Supervisory Oversight: Supported the Financial Services function by conducting monthly supervisory audits across 20 teams, ensuring all managers fulfilled their supervisory and compliance obligations, maintaining high regulatory standards and mitigating risk exposure.

Jacksonville, Florida, United States

Chosen as 1 of 4 managers to lead a national initiative across two regional centers to support education and service for Fidelity-sponsored college savings vehicles. • Team Recruitment & Leadership: Led the interview and recruitment process for 50 candidates, successfully hiring two teams to launch the initiative at the regional center. • Curriculum Development: Partnered with national Learning & Development to create a comprehensive onboarding curriculum for new associates, ensuring alignment with educational goals and service standards. • Compliance & Engagement: Collaborated with the local Compliance Director to establish rules of engagement for providing guidance on appropriate college saving investment options, ensuring adherence to regulations. • Cross-Site Collaboration: Worked with the national College Planning leadership team to set goals and priorities for 2009 as the group transitioned from pilot phase to full production. • Daily Leadership & Quality Control: Oversaw day-to-day team operations, including interaction monitoring for quality, ensuring compliance, and maintaining high standards for education and client guidance. • Client Experience Success: Drove associate engagement, resulting in the team exceeding client experience goals during the pilot phase.

Jacksonville, Florida, United States

Relocated to Jacksonville to support the launch of a new regional center, leading a team of individuals new to financial services. Focused on guiding associates through FINRA licensing and coaching them to deliver exceptional client experiences. • Turnaround in Client Experience: Inherited a team with below-expectation client experience scores; developed and implemented an action plan within two months, resulting in consistent scores that exceeded expectations. • Talent Acquisition & Development: Played an active role in regional center growth by participating in on-campus recruiting and site-wide hiring events. Regularly coached associates through licensing, leading to promotions to High Net Worth and Sales functions. • Client Interaction & SME Leadership: Acted as a subject matter expert (SME) for client interaction quality, providing coaching, sharing best practices, and recognizing top associate interactions on a monthly basis. • Compliance & Daily Oversight: Supervised daily associate activities, monitoring client interactions and reviewing trade blotters to ensure adherence to compliance and service standards.

Jacksonville, Florida, United States

Merrimack, Nh

Merrimack, Nh

Merrimack, Nh