Lou Fiumara Email & Phone Number

Philadelphia, Pennsylvania, United States

Leader of service delivery in the small retirement plan space. Specializing in business unit development, regulatory solutions, financial advisor support.

• Directed shareholder service delivery within the sub-transfer agent of the Delaware Funds® by Macquarie. Leader of strategic planning and process development, financial reporting, technology deployment and project.
• Facilitated the development of AML-compliant client onboarding programs, mitigated risk associated with the oversight of lost shareholder reporting, cultivated and ultimately led the transition of retirement.
• By means of data analytics, developed methodologies to lead and implement initiatives driving business transformation and optimization of the client/advisor experience.
• Facilitated and influenced operational alignment with company policies, programs, and regulatory requirements.
• Performed executive-level metric analysis to develop key performance indicators and deliver actionable insights into the management of the business operations.
• Conducted extensive analyses in support of business development and service delivery.

• Leader of the firm’s processing and call center support teams. Developed and further integrated several core business processes within the organization to surpass key business drivers.
• Directed the development of department-based productivity goals while enhancing staff performance in association with service standards.
• Centralized the firm’s transaction processing functions in support of client base growth in excess of 100%. Facilitated an annual savings of $765K.
• Provided strategic direction and executed on business plan objectives to support corporate goals.

• Progressive responsibility leading to the development and management of the internal transfer agent's retirement record keeping business unit for the AllianceBernstein family of mutual funds.
• Developed a retirement record keeping department servicing shareholders with $600M AUM.
• Managed the architectural design, systemic testing and synchronization of various business units while integrating an imaged-based work distribution system.