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 governance across multiple financial functions.• 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 recordkeeping services representing shareowners with $1.6B AUM.• 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. • Served as project leader of large-scale initiatives in a matrix-managed environment.

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.