Transition Operations Support Associate
CurrentOperational Strategy: Instituted the Lead Transition Operations Support Associate position with the intent to streamline all communications with CFN staff and advisors and oversee all back-end operations necessary to a successful advisor transition. To date, 70 advisor offices have participated in this program.Metric & KPI Analysis: Collaborated with Transition to author a new NIGO code tracking spreadsheet designed exclusively using Excel analytics. This report highlights the number of infractions per designated NIGO type and the represented percentage among all NIGO paperwork cases created within the weekly review period. Intent is to cut down our review process by two weeks by simplifying opportunities an advisor should focus their attention, when submitting proper account opening paperwork.Business Process Improvement (BPI): Streamlined workflow and tracking related to FINRA Rule 2273, Business Transition Account Lists, and Sponsor Appointment Paperwork to ensure compliance accuracy.Project Management: Executed internal auditing for two high-priority projects tasked by SVP, Transition.