Developed an operational improvement strategy in collaboration with senior executives by evaluating business operations, allocating resources, and implementing improvement strategies in line with business objectives.- Determined the scope of operational improvement initiatives via consultation and evaluation. - Developed operational improvement strategies.- Recommended cost-effective solutions to operational challenges.- Restructured departments and defined employee roles.- Facilitated training initiatives and promoted best practices.- Oversaw the implementation of operational improvement strategies.- Collaborated across departments to set realistic operational targets and timeframes.- Documented processes, monitored progress, and prepared status reports.- Integrated new technologies and promote adherence to industry regulations.

A strategic partner to the Executive Director and Team Leaders. Work closely with the team to optimize efficiency and productivity, streamline strategic initiatives, oversee program management, and communicate objectives between stakeholders. • Increased profits by 10% in a highly competitive environment by focusing on clients who value service, which eliminated the need to use price for securing new business. • Demonstrated operational efficiency through root-cause analysis and employee training.• Developed ongoing process improvement initiatives aimed to assist with strengthening compliance. • Supported business development with sales and the expansion of portfolio services.

Reported to the Chief Executive Officer with responsibility for leadership and management of all administrative and operational functions. Managed six departments: Cash Management, Proxy Administration, Quality Control, Stock Plan Administration, Tax Reporting, Stock and Cash Reconcilement. In 2005, I was tasked with creating and overseeing a new Specialized Service department, which was responsible for servicing top tier clients with contract values in excess of 1 million dollars.• Coached and mentored department heads to proactively build, motivate, and nurture relationships with staff and clients. • Managed to increase productivity by 10%, saving an additional $40,000 during a hiring freeze due to budget restrictions. • Developed risk-based compliance governance and infrastructure. Corresponding employee development was managed using a testing and monitoring program. • Defined, documented and implemented OFAC and Patriot Act policies.• Successfully facilitated and oversaw several federal regulatory exams of the transfer agent safeguarding rules with no material findings. • Instrumental in implementing cost basis reporting of the 2008 Energy Act.• Facilitated banking relationships for distribution processing and cash management.• Proactively involved in monitoring developments within the industry to ensure the firm remained compliant. • Managed client relations, including mergers and acquisitions, due diligence requests, and initial public offering.Additional Responsibilities Related to 2005 Promotion:• Developed policies and procedures to handle non-publicly traded Real Estate Investment Trusts (“REIT’s”). • Trained employees on all aspects of services for REIT’s. Specialized services included: Subscription Offerings, Call Center, Repurchase Program, Stock Transfers, Dividend Reinvestments, and Lost Certificates. • Streamlined operations and controls to accommodate the specialized services required by the clients – approximately 500,000 shareholders.

• Managed relationships with 30 broker-dealers that utilized Alliance cash management products with assets of over 14 billion dollars.• Assisted marketing staff in presentations to prospective clients.• Coordinated IT department efforts to meet the needs of clients.• Worked with the product development team in designing a Managed Asset Program linked to a mutual fund account.