Mandy Hoffman Email & Phone Number

Glidden, Iowa

Assigned resources for the Broker Dealer to individual Registered Investment Advisor (RIA) change for over 2K investors.Managed complex process to move $150 million in assets under management through all project phases including, attorney and compliance meetings, new forms, state filings, employee communication, internal system changes and customer reach out to successfully complete the RIA transition.Directed year long program to transform operations and modernize the Broker Dealer user experience. Assessed and consulted industry experts to identify software solutions to meet company requirements, including automation, digitalization and consumerization of our business model. Designed, built and executed comprehensive training plan for 10 employees, ensuring 100% knowledge and compliance on Day 1.

Enfield, Ct

Fostered strong distribution partnerships with internal and external customers including financial representatives and home office personnel.Developed close collaboration with cash payment operations, ensured that funds were applied to correct commission and agent accounts.Acted as a liaison between sales partners and operations management.Trained, coached and mentored internal employees including quality assurance.Recipient of a prestigious award “Standing Ovation Award” and received nominations for the Circle of Excellence.Project management skills displayed as the lead for the system conversion to one platform and other projects.Expert knowledge level of PowerPoint, Vision Critical Survey’s, Word and Excel.Designed and implemented a commissions flyer to increase the use of statements on-line which was on target to save The Hartford $20,000.00 annually.Resolved high level issues involving complex analysis and research; communicated with field distribution partners.

Des Moines, Iowa Area

Provided constructive quality sessions to all Distributor Services employees on a weekly basis.Led initiatives to communicate procedural changes, training documentation and mentoring of less experienced employees.Provided detailed analysis of external commissions statements to ensure accurate payment of ING Financial Advisors representatives.Represented commissions team for the life strategic compensation system on enterprise wide SOX initiative; documented processes, reviewed with enterprise committee; communicated with internal teams.