* Responsible for strategic vision of multiple teams within enterprise operations ensuring successful implementation of global and corporate change agenda. * Imaging team responsible for 9M documents requests annually. Implemented state-of-art imaging system, managed service levels, staffing models, budgets and offshore contact and vendor management. * Fulfillment team responsible for all communications with policy holders. Annually, includes accurate and successful generation of 2M statements, 90,000 policy contracts, 340,000 prospectuses, 1.4M notifications and 3M correspondence letters.

Promoted to strategically lead operations through a successful transition of broker-dealer assets to a new purchasing firm. * Responsible for compliance and adherence to all rules and regulations that impact all aspect of operations. * Provided operational contributions, such as documentation and remediation to regulators and auditors, including: Annual Anti-Money Laundering (internal audit), 3120 (external audit), FINRA, and SEC. * Continuously monitored and identified staffing needs while planning and preparing for phased shut down of broker-dealer. * Daily coordination and collaboration to achieve consensus across multiple legal teams to execute all aspects of the sale. * Executed consent mailing and account conversion for over 170,000 clients.

Managed, developed, and motivated an investment operations team of 14 team members and 2 managers. Team was responsible for over 650 registered representatives and 15,000 new accounts per year. * Designed enhanced RIA program and migrated RIA portfolios and trading platform from Pershing to Envestnet (2 billion in AUM). * Proactively work towards consistent compliant adherence to FINRA and SEC regulations, including: books and records, customers’ notification, privacy, and ERISA fiduciary rules. * Designed, implemented, and tested workflow (BPM) to streamline all lines of business. * Collaborated with IT and QA to test and implement system enhancements and fixes. Acted as program lead on back office system replacement project: assisted with vendor due diligence and selection, system conversion, and implementation.* Managed and collaborated with off-shore partners to enhance process output and reduce operational costs. Conducted onsite controls review in October 2017 of off-shore facility in Bangalore, India.

* Proactively worked with project sponsors to drive execution of objectives and expectations. Actively identified risks, managed challenges, and provided recommendations for resolution.* Developed, managed, and communicated project deliverables including project plans, scope, governance, schedule, and status.

* Managed a team responsible for processing $6 million of monthly gross dealer concession (GDC). * Facilitated annual field communication, invoice generation, and payment processing of FINRA Renewals and 1099 IRS reporting and validation (1000 Advisors). * Owned and managed Bonus (back office system), DTCC money settlement, user acceptance testing (UAT), and release management.

* Managed daily securities operations for large network office (over 100 advisors). Daily operations included: new accounts, trading, training, and issue resolution.* Implemented successful branch clearing-firm transition from R W Baird to Pershing LLC. Transfer converted over 10,000 accounts and $200 million in assets.