Lead Control Management Officer for Wells Fargo Control Team supporting Wealth & Investment Management (WIM) Chief Admin Office (CAO), WIM Marketing, and WIM Advisor & Client ExperienceStrategic Reporting and Data AnalyticsDeveloped a strategic reporting approach that tracked over 70 issues and 100 corrective actions, aiding Executive decision-making for the Wealth and Investment Management Marketing and Advisor and Client Experience business units.Process Optimization… Show more Lead Control Management Officer for Wells Fargo Control Team supporting Wealth & Investment Management (WIM) Chief Admin Office (CAO), WIM Marketing, and WIM Advisor & Client ExperienceStrategic Reporting and Data AnalyticsDeveloped a strategic reporting approach that tracked over 70 issues and 100 corrective actions, aiding Executive decision-making for the Wealth and Investment Management Marketing and Advisor and Client Experience business units.Process Optimization and AutomationDeveloped a SharePoint-based Issue Pre-Verification Tracking Report to automate the documentation of the weekly verification progress, empowering management with on-demand updates.Risk Assessment and Issue ManagementCollaborated in a newly instituted Risk and Control Self-Assessment (RCSA) process with multiple business teams, identifying critical gaps that led to the initiation of new issues and their corrective actions (CAs).Training and DevelopmentOrchestrated a six-month training program for offshore employees, developing templates and efficiency-enhancing procedures to meet firm quality standards. Show less

Regulatory AssessmentsExecuted second-line audits and risk and control assessments following FINRA Rule 3120, SEC Rule 206(4)-7, and other regulatory standards, ensuring regulatory compliance and adherence to the compliance framework across assessed business teams.Control AssessmentsConsulted with, advised, and tested the adequacy and effectiveness of risk controls under FINRA Rule 3120, SEC Rule 206(4)-7, National Futures Association (NFA), and Direct Market Access (DMA) rules… Show more Regulatory AssessmentsExecuted second-line audits and risk and control assessments following FINRA Rule 3120, SEC Rule 206(4)-7, and other regulatory standards, ensuring regulatory compliance and adherence to the compliance framework across assessed business teams.Control AssessmentsConsulted with, advised, and tested the adequacy and effectiveness of risk controls under FINRA Rule 3120, SEC Rule 206(4)-7, National Futures Association (NFA), and Direct Market Access (DMA) rules across all business units and functions, including Compliance, Legal, Service, Trading, & Operations.Governance AssessmentsConducted independent compliance control assessments, involving regulatory framework mapping, risk identification, test script development, process design and effectiveness testing, and compliance with the local compliance framework, policies, and regulatory requirements.Process Optimization and Risk ManagementProactively identified and addressed gaps and deficiencies in processes, systems, and personnel.Leadership and Team ManagementManaged task delegation for the team's junior member, tracking progress, providing metrics, and conducting quality assurance tests.Building NetworksCultivated personal networks across business units and departments to enhance personal and team effectiveness and support the firm's mission. Show less

Process OptimizationTeam Lead for a 9-month Ease of Doing Business project focusing on Form Revisions, Process Improvements, and reduced Advisor friction. Collaborated across functional business units and leadership levels to achieve an 85% reduction in the number of forms, boosting Advisor satisfaction and operational efficiency.Project LeadershipManaged multiple successful independent projects across various compliance departments over two years, including a standout BSA/AML… Show more Process OptimizationTeam Lead for a 9-month Ease of Doing Business project focusing on Form Revisions, Process Improvements, and reduced Advisor friction. Collaborated across functional business units and leadership levels to achieve an 85% reduction in the number of forms, boosting Advisor satisfaction and operational efficiency.Project LeadershipManaged multiple successful independent projects across various compliance departments over two years, including a standout BSA/AML triage review that enhanced efficiency.Compliance and Regulatory OversightLed Patriot Act / Bank Secrecy Act / Anti-Money Laundering (PA / BSA / AML) triage review, significantly improving process efficiency by eliminating 70% of unnecessary reviews.Reviewed and approved Advisor Office Sharing requests and escalated as needed, ensuring compliance with organizational policies. Show less

Training and DevelopmentProvided targeted coaching / mentorship to newly-licensed and Junior Representatives, focused on the development, review, and implementation of financial plans using the Morgan Stanley Goals Planning System (GPS) for High Net Worth (HNW) Clients.Financial AdvisorIncorporated advanced strategies in Investment Management, Tax Efficiency, and Risk Assessment.

Sales Performance and Customer SatisfactionTop producer among two Charlotte call center teams, consistently exceeding quotas by 30%.First in cohort to be promoted to Senior Investment Services Advisor, a testament to exemplary performance.Customer SatisfactionExcelled in engaging clients through digital and remote channels, adapting to evolving client needs and preferences in a technology-driven financial environment.Earned consistently high scores on Gallup client… Show more Sales Performance and Customer SatisfactionTop producer among two Charlotte call center teams, consistently exceeding quotas by 30%.First in cohort to be promoted to Senior Investment Services Advisor, a testament to exemplary performance.Customer SatisfactionExcelled in engaging clients through digital and remote channels, adapting to evolving client needs and preferences in a technology-driven financial environment.Earned consistently high scores on Gallup client satisfaction surveys while providing advice and access to a diverse range of investment products and services.Team Leadership and ManagementOrganized and led weekly pipeline and progress reviews, positively impacting branch and regional management.Training and DevelopmentLed training, coaching, and mentoring efforts across thirteen branches, benefiting over 50 banking partners and solidifying relationships within multiple regions. Show less

Operational Efficiency & Process ImprovementAuthored comprehensive training materials, achieving a 10% increase in operational efficiency.Regulatory Compliance & Risk MitigationExecuted routine and specialized audits of trading and transactional activities to ensure adherence to pertinent regulations.Proposed and implemented a revised switch review procedure, yielding a 30% reduction in both time and associated costs.Diagnosed a concerning compliance trend in fixed… Show more Operational Efficiency & Process ImprovementAuthored comprehensive training materials, achieving a 10% increase in operational efficiency.Regulatory Compliance & Risk MitigationExecuted routine and specialized audits of trading and transactional activities to ensure adherence to pertinent regulations.Proposed and implemented a revised switch review procedure, yielding a 30% reduction in both time and associated costs.Diagnosed a concerning compliance trend in fixed annuity transactions, which led to the creation of remedial training programs and the implementation of proactive preventative measures.Proactively identified emerging compliance trends and issued over 20 disciplinary actions to manage risk exposure.Team Engagement & Stakeholder ManagementFostered collaboration among internal teams and liaised with external stakeholders to meet project milestones and align with business goals. Show less

Strategic Planning & ExecutionDeveloped and executed go-to-market strategies, leading to the successful implementation of institutional-grade portfolios across multiple platforms, including brokerage, advisory, and insurance.Managed project scope, applied project initiation and planning processes, followed by execution and monitoring, leading to the successful launch and management of portfolios across various platforms.Product Optimization & Portfolio ManagementCreated and… Show more Strategic Planning & ExecutionDeveloped and executed go-to-market strategies, leading to the successful implementation of institutional-grade portfolios across multiple platforms, including brokerage, advisory, and insurance.Managed project scope, applied project initiation and planning processes, followed by execution and monitoring, leading to the successful launch and management of portfolios across various platforms.Product Optimization & Portfolio ManagementCreated and managed multiple long-only, risk-optimized asset allocation portfolios using a diverse set of tactical assets, including equities, ETPs, and leveraged products.Cross-Functional ImplementationDemonstrated operational acumen by executing portfolio strategies across diverse platforms, ranging from brokerage and advisory services to variable annuities.Regulatory Compliance & GovernanceConducted thorough risk analysis and developed mitigation strategies, ensuring project and organizational compliance with regulatory requirements.Established compliant systems and policies as a state Registered Investment Adviser (RIA), achieving zero deficiencies during audits by the NC Department of the Secretary of State Securities Division and FINRA.Business Operations & StrategyAcquired hands-on knowledge of hybrid and RIA business models, serving as COO and CCO from inception to successful business sale in 2014.Managed vendor relationships and contract negotiations.Financial Analysis & Fiscal ResponsibilityHeld complete P&L authority, developing financial forecasts and projections, while effectively managing interdependent projects and programs.Business DevelopmentSuccessfully negotiated the sale of a Registered Investment Adviser in 2014.Growth MarketingDoubled assets under management by creating and deploying targeted marketing materials, growth hacking, customer acquisition and retention. Show less

Previously Synergy Investment Group - acquired by Sterne Agee in 2012Asset Management and Client ServicingServed as the broker of record to five ERISA plans, showcasing expertise in managing specialized retirement accounts.Regularly analyzed and reported on portfolio performance to clients, offering insights and adjustments to meet changing market conditions and personal financial goals.Managed a client base that spanned 210 households across 37 states, demonstrating… Show more Previously Synergy Investment Group - acquired by Sterne Agee in 2012Asset Management and Client ServicingServed as the broker of record to five ERISA plans, showcasing expertise in managing specialized retirement accounts.Regularly analyzed and reported on portfolio performance to clients, offering insights and adjustments to meet changing market conditions and personal financial goals.Managed a client base that spanned 210 households across 37 states, demonstrating exceptional skill in client servicing and relationship management as a registered representative.Business Growth and RetentionCross-Selling Financial Products: Successfully cross-sold a range of financial products, including mutual funds, annuities, and insurance policies, enhancing client portfolio diversity and financial security.Acquired a client book in 2004 and achieved remarkable growth: tripled Assets Under Management (AUM), doubled the average share-of-wallet, and reduced relationship churn from 75% to 12.5%.Client Interaction and Proposal DevelopmentProvided comprehensive financial planning services to clients, including retirement, estate, tax, and insurance planning, enhancing their overall financial wellbeing.Specialized in the design and delivery of financial proposals, conveying complex financial concepts to clients and advisors in both individual and group settings. Show less

Hedge Fund Analysis & Strategy FormulationContracted as a Generalist Analyst for a hedge fund specializing in small and micro-cap GARP (Growth at a Reasonable Price) strategies with a long-biased focus.Employed a bottom-up, fundamental analysis methodology that integrated both value and growth investment strategies.Investment Research & Due DiligenceDelivered actionable buy/sell recommendations and performed comprehensive due diligence for the fund's founder.Conducted… Show more Hedge Fund Analysis & Strategy FormulationContracted as a Generalist Analyst for a hedge fund specializing in small and micro-cap GARP (Growth at a Reasonable Price) strategies with a long-biased focus.Employed a bottom-up, fundamental analysis methodology that integrated both value and growth investment strategies.Investment Research & Due DiligenceDelivered actionable buy/sell recommendations and performed comprehensive due diligence for the fund's founder.Conducted one-on-one meetings with target company executives and executed channel checks to inform investment decisions.Valuation & Risk AssessmentSpearheaded asset valuations using robust financial models.Conducted an array of due diligence activities, including risk assessments, to validate investment opportunities. Show less

Founding & Regulatory ComplianceFounded and registered a hedge fund as a Texas-based Registered Investment Adviser, exercising complete Profit and Loss (P&L) oversight.Facilitated the Fund's seamless decommissioning in September 2003, while ensuring full compliance with regulatory standards.Project ManagementInitiated, planned, executed, and ultimately closed the hedge fund project. Demonstrated exceptional project integration management by seamlessly integrating various… Show more Founding & Regulatory ComplianceFounded and registered a hedge fund as a Texas-based Registered Investment Adviser, exercising complete Profit and Loss (P&L) oversight.Facilitated the Fund's seamless decommissioning in September 2003, while ensuring full compliance with regulatory standards.Project ManagementInitiated, planned, executed, and ultimately closed the hedge fund project. Demonstrated exceptional project integration management by seamlessly integrating various project components, from regulatory compliance and P&L oversight to the strategic decommissioning of the fund, ensuring alignment with both organizational objectives and regulatory standards.Investment Strategy & Corporate StructureEngineered robust investment models, risk management frameworks, and streamlined organizational structures and systems.Hedge Fund ManagementAdministered a long/short equity hedge fund, focusing on low Price-to-Book (P/B) and Price-to-Sales (P/S) ratio assets.Portfolio Strategy & PerformanceEmployed a multi-cap value/GARP (Growth At a Reasonable Price) investment strategy, incorporating a mix of fundamental, technical, and quantitative approaches.Achieved superior portfolio performance in 2002, outpacing the S&P 500 by 1,923 basis points while maintaining 41% lower risk.Product Strategy & Financial OversightFounded and led a Registered Investment Adviser in Texas, demonstrating adeptness in P&L management, akin to budgeting and financial oversight in product management.Process Optimization & ComplianceOrchestrated the decommissioning of an investment fund in compliance with all regulatory standards, showcasing an ability to manage complex projects and ensure compliance.Data-Driven Decision-Making & Risk ManagementDesigned and executed data-driven investment models and risk management strategies, exhibiting a knack for using analytics to guide decision-making. Show less

Investment Strategy & Sector FocusConducted comprehensive investment analyses and delivered actionable recommendations across small-cap, mid-cap, and IPO companies in various sectors including Industrial, IT, Telecom Services, and Materials.Research & Due DiligenceEngaged in meticulous fundamental research, involving site visits and conducting over 500 interviews with executives and employees to obtain essential insights.Financial Analysis & Business… Show more Investment Strategy & Sector FocusConducted comprehensive investment analyses and delivered actionable recommendations across small-cap, mid-cap, and IPO companies in various sectors including Industrial, IT, Telecom Services, and Materials.Research & Due DiligenceEngaged in meticulous fundamental research, involving site visits and conducting over 500 interviews with executives and employees to obtain essential insights.Financial Analysis & Business EvaluationExecuted rigorous quantitative and qualitative analyses of financial statements, assessed business models, and reviewed income statements to inform investment decisions.Built complex proprietary forecasting models for potential investments in scope.Team Collaboration & Portfolio SupportProvided direct support to two Portfolio Managers and indirect assistance to five others in a cross-functional team for an SEC registered advisory firm managing $6.8 billion in AUM, serving over 100 institutional accounts.Special Projects & Operational StudiesUndertook in-depth ad hoc operational studies for the firm’s founder, addressing key concerns such as AUM capacity, position liquidity, and the efficacy of sell discipline protocols. The studies involved detailed requirement gathering, stakeholder analysis, and risk management. Show less

Team Leadership & Research OversightDuring MBA studies, served as Portfolio Co-Manager and Director of Research for a $10M MBA-student-managed fund, (the largest student managed portfolio in the U.S. at that time).Orchestrated and supervised the research efforts of 36 undergraduate analysts, covering comprehensive analysis and due diligence across multiple sectors.Oversaw the entire project lifecycle, from initiation and planning to execution and closure, ensuring the student… Show more Team Leadership & Research OversightDuring MBA studies, served as Portfolio Co-Manager and Director of Research for a $10M MBA-student-managed fund, (the largest student managed portfolio in the U.S. at that time).Orchestrated and supervised the research efforts of 36 undergraduate analysts, covering comprehensive analysis and due diligence across multiple sectors.Oversaw the entire project lifecycle, from initiation and planning to execution and closure, ensuring the student analysts provided comprehensive analysis and due diligence across multiple sectors. This role demonstrated effective Project Human Resource Management and Project Communication Management, ensuring efficient team collaboration and information dissemination.Financial Modeling & AnalysisExecuted financial statement scrutiny, built valuation models, and conducted additional equity analyses to inform portfolio decisions.Sector-Specific InvestmentsManaged stock transactions within the Consumer Discretionary, Consumer Staples, and Healthcare sectors, contributing to the portfolio's diversity and performance.Managed the fund’s summer rotation to cash by enhancing cash yields with institutional repurchase agreements. Show less

Leadership and Team ManagementLed a team of two full-time and three part-time employees, achieving high levels of productivity and team efficiency.Demonstrated leadership capabilities by mentoring a staff of four, resulting in the successful promotion of an assistant to an advisor role.Staff DevelopmentDeveloped and mentored staff, one of whom became a multi-year successful registered representative. This provided continuity in client service during my full-time MBA… Show more Leadership and Team ManagementLed a team of two full-time and three part-time employees, achieving high levels of productivity and team efficiency.Demonstrated leadership capabilities by mentoring a staff of four, resulting in the successful promotion of an assistant to an advisor role.Staff DevelopmentDeveloped and mentored staff, one of whom became a multi-year successful registered representative. This provided continuity in client service during my full-time MBA studies.Client Relations and Business DevelopmentConducted 300+ new client presentations, leading to a significant increase in client acquisition.Managed over 1000 client meetings, strengthening relationships and ensuring high levels of client satisfaction.Provided comprehensive brokerage, investment, and insurance solutions through various communication channels, including in-office, in-home, and over the phone.Financial Analysis and AdvisoryConducted in-depth reviews and offered recommendations on securities across multiple asset classes, directly impacting the investment decisions for over 400 clients.Personalized Financial PlanningDeveloped basic, personalized financial plans for over 200 clients, incorporating risk tolerance, financial goals, and investment preferences to optimize financial outcomes.Financial Education and Client EmpowermentConducted educational sessions for clients on fundamental financial planning principles, empowering them to make informed financial decisions.Achievements and RecognitionEarned the "Regional Rookie of the Year" award from Edward D. Jones & Co. in 1994.Expanded branch assets by over $10 million in 1995, and increased AUM by 110% within a two-year period. Show less

Project and Event ManagementSpearheaded biannual aviation safety conferences, coordinating with Subject Matter Experts, vendors, and diverse military stakeholders to improve safety protocols. Conducted comprehensive stakeholder analysis, scope definition, and meticulous project scheduling, ensuring adherence to budget and time constraints.Orchestrated the annual Navy Relief fund drive, achieving a 95% participation rate and tripling past donation amounts.Team Leadership and… Show more Project and Event ManagementSpearheaded biannual aviation safety conferences, coordinating with Subject Matter Experts, vendors, and diverse military stakeholders to improve safety protocols. Conducted comprehensive stakeholder analysis, scope definition, and meticulous project scheduling, ensuring adherence to budget and time constraints.Orchestrated the annual Navy Relief fund drive, achieving a 95% participation rate and tripling past donation amounts.Team Leadership and Personnel ManagementManaged an aviation electronics division, supervising a team of 38 technicians with various levels of expertise. Ensured optimal functionality of vital electronic systems, enhancing operational capabilities.Directed daily operations for a unit of over 150 pilots and 35 support staff, managing assets valued at $700+ million. Optimized resource allocation and maintained high levels of mission readiness.Training and Skill DevelopmentConducted training programs for both student and instructor pilots, strengthening skill levels across the board.Served as a consultant to Pacific Fleet Squadron Commanding Officers, evaluating and enhancing squadron proficiency in diverse areas including risk mitigation, flight techniques, and anti-submarine warfare.Communication and Information SecurityActed as Squadron Communications Officer, overseeing all encrypted communications. Maintained Top Secret security clearance.Implemented secure and efficient intra-unit communication protocols, contributing to overall mission success.Risk Assessment and ComplianceAudited multiple Pacific Fleet squadrons on key performance indicators such as risk mitigation, flight skills, teamwork, and emergency response.Conducted comprehensive evaluations of squadrons, including the Commanding Officers, and provided feedback aimed at flight risk reduction and mission effectiveness. Show less