Kelly Fey Email & Phone Number

Series 24, 7, 63, 99 licensesLead two dynamic teams responsible for managing all operational communications within broker-dealer and clearing services. - Oversee the drafting and delivery of essential regulatory communications, including policy updates, fee adjustments, emergency responses, tax documentation, and product changes.- Partner with multiple business areas such as legal, compliance, tax, marketing, product, and senior leadership to ensure strategy is aligned with business needs- Coordinate the production and distribution of account maintenance materials, such as statements and trade confirmations, across brokerage, retirement, and UK accounts.- Manage mail intake and processing operations, ensuring efficiency and compliance with escheatment regulations.- Maintain a robust partnership with our physical mail vendor to secure reliable mail delivery for electronic transmission failures.

Remote / Denver, Colorado, United States

Series 24, 7, 63 licensesManage mass corporate communication strategies for regulatory, operational, informational, educational, and brokerage areas of the business via multiple platforms (email, in-app messages and displays, social media, physical mail) - work cross functionally to leverage SME knowledge and execute an auditing procedure to maintain compliance- deliver regulatory communications to all users including annual disclosure, tax verification, and Form CRS to comply with industry requirements - review and provide S24 principal approval for product proposals and mass communicationsDesign tailored communications cross-functionally with product, legal, compliance, marketing, content, and other stakeholders for policy and product launchesDevelop communications strategies that consider both proactive and reactive tactics for incident management and incident response- collaborate cross-functionally with product, legal, compliance, marketing, content, and other stakeholders for policy launches to ensure content accuracy

Remote

Series 24, 7, 63 licensesCreate and implement business changes to mitigate risk gaps for FINRA inspections - includes major procedural and policy updates, rewriting WSPs, sharing technical acumen with leadership teams, and hosting training sessions for representatives - identify and execute on process improvements Conduct oversight of regulatory controls to prepare for internal yearly inspectionsMaintain quality control of customer service representatives and overall business including: - advise on regulatory requirements for project and product proposals - review inbound and outbound brokerage communications to ensure industry standards are met and provide principal approval- conduct regular audits of communication database- coach new hires and report quality trends to management teams- review written client correspondences to determine if they are FINRA reportable complaints- evaluate complaint incidents for possible U4 filings Represent business internally by answering escalated inquiries from business partners, public relations, and executives

Malvern, Pennsylvania

Series 7, 63 licensesBalance multiple functions including: research and resolution case management, operational process improvement project ownerships, new hire mentoring and training services, internal consultations, and compliance & quality liaison Restored client trust by acting as single point of contact to obtain full scope of client issue, asses Vanguard compliance policies to make objective decisions, and collaborate cross-business to deliver ongoing positive client experiences through process improvements Analyze trends and existing workflows to identify and implement solutions Collaborate with business leaders to implement solutions which involve creating new business procedures, increased employee engagement, and additional educational resources for employeesOrganize & maintain schedule of events based on the 2019 budget to increase employee engagement

State College, Pennsylvania

• Created marketing campaign design project which included coordinating various engagements events

Monroeville, Pa

Summers of 2014, 2015, 2016• Identified and qualified prospects for new business campaign in various target markets• • Interaction with Caterers, Entertainment & Rental Vendor to meet budget projections of events • Analyzed existing clients and for specific cross-selling marketing campaigns to increase organic growth •• Extensive database work to manage client and prospect information for direct mail campaigns •• Contributed to the planning and execution of client events• Assisted in Screening and interviewing process for Dental Technicians