James Fisher, Pmp Email & Phone Number

San Diego , Ca, Us

Currently leading the implementation of the RIA Program - building a new offering for our current advisors as well increasing the opportunity to onboard new ones. Working cross-functionally within Cetera and with vendors to bring the offering to market. Previously led a multi-faceted program to revolutionize the Cetera Advisor experience to increase satisfaction, enhance the Advisor relationship, and provide metrics to continuously improve employee skills. Assisted in designing the end state operating model for Cetera's Broker Dealers - integrating new technology to provide a great experience for both our employees and Advisors.

Weston, Massachusetts, Us

An exciting startup opportunity to bring innovative best of breed software to the broker dealer market that streamlines business operations and improves practice efficiencies. Specifically led the implementation of the new Insurance integration within the A360 platform - the first new product launch of Advisor360.

Boston, Massachusetts, Us

Oversaw an Agile Development program with distributed teams in our Princeton, NJ location to fully automate the creation and dissemination of financial documents for our clients.Executed all aspects of the AML program for 86,000 accounts and 25,000 entities – working in a dynamic environment of changing processes and protocols to exceed senior management expectations.Designed the State Street Wealth Management operational model for Anti-Money Laundering Monitoring to allow for a timely comprehensive review of all account owners, account types, and account holdingsCoordinated a comprehensive Annual Fee Review, which identified deficiencies and control gaps; leading to new processes and procedures to mitigate future billing riskAutomated the fee review of 256 fee setups for client management, encompassing 20,000+ accounts, which resulted in completion two months ahead of schedule.

Boston, Massachusetts, Us

Effectively managed a project with 9 complementary workstreams to improve business operations and implement 34 process redesigns. I orchestrated the overall project to identify challenging areas of inefficiency for a client responsible for 10% of revenue and 31% of staff, by documenting and identifying strategic solutions, implementing business process modeling, creating working groups, and providing continuous updates to Senior Management.

Boston, Massachusetts, Us

Led the implementation of 13 new technologies across a 1200 member business unit, working collaboratively with cross-functional teams and senior management. In addition, I created and implemented a framework for all functional teams to manage user access for all cloud based computing, considering all clients and funds access. Prior to implementation, I documented a business continuity plan that covered 45+ clients, and 7 business lines in which all client and business unit key processes and data flows were captured to facilitate a quick recovery if necessary.

Boston, Massachusetts, Us

Responsible for developing a team of professionals to effectively monitor and review process and create procedures to ensure the bank complies with the client’s highest standards.• Collaborated with other departments to design and develop MCH compatible systems that identifies and mitigates risk, produces client reporting, and enhances group communication.• Implemented project management protocols within Quality Assurance to achieve accurate project design, improve team communication, and exceed client expectations.• Successfully led a team to discuss and implement our internal auditor’s findings, effectively mitigating risk and further enhancing the QA process.• Managed a team through adverse circumstances and continued to reach excellence by increasing QA’s scope, developing new talent, and documenting thorough procedures.

Boston, Us

Boston, Massachusetts, Us

Responsible for ensuring the integrity of MFS Funds by creating and implementing efficient monitoring processes that allows MFS to take action when a participant violates the prospectus. • Performed industry competitive analysis of the mutual fund industry for MFS Retirement Services, Inc. to assist in their determination of whether to align the excessive trading policy with the rest of the industry. • Increased team productivity and accuracy by designing a reporting system that cut report times from eight hours to five minutes. • Recognized weaknesses within redemption fee monitoring and created effective management tools to increase timely communication and provide accountability.• Managed the Outside Fund Monitoring project in which a system was developed and designed to manage effectively 58 fund family contacts, 700 actions taken, and 600 mutual fund prospectus changes.

Boston, Massachusetts, Us

Responsible for designing, creating, and implementing a business continuity program that is compliant with internal and external stakeholders, mitigates risks, and effectively manages incidents worldwide.

Boston, Ma, Us

A startup location in which I was responsible for staffing and shift operations, and provided quantitative data analysis for management to maximize representative productivity.• Decreased client “hold time” by 45% through examining current staff allocation, creating a new model and implementing change.• Maintained 11 consecutive quarters of 100% business continuity compliance through testing, event management and process documentation.• Advised various business units on reporting, system implementations, and staffing to help achieve maximum efficiency within their business units.

Us

Master Of Business Administration - Mba

Bs, International Business