Raina Williams Email & Phone Number

Minnetonka, Minnesota, United States

• Team Leader of Client Services and Operations staff• Successfully conducted Client Implementations for Tier 1 clients.• Primary resource for ACA compliance related inquiries• Analyzed service and compliance requirements to define fulfillment audit strategy. • Maintained issues, risks, and actions log throughout project.• Managed communication and resolution of outstanding issues with client teams• Conducted weekly project status calls with client teams and executive leaders.• Assisted in system quality assurance testing with client teams.• Participated in brainstorming sessions to develop process improvements throughout the company.• Created standardized documentation to ensure process controls in place.• Created new quality assurance plans to ensure project accuracy and efficiency.

Boston, Massachusetts, United States

• Managed quality assurance, compliance, and operation teams.• Responsible for all compliance functions for clients’ state regulatory filings as related to Blue Sky laws.• Maintained strong partnerships and relations with state regulators and clients. • Initiated multiple technology projects to improve accuracy, efficiency, and productivity, working with technical teams to ensure successful results.• Orchestrated the design and development of a web based registered representative data management, analysis and tracking system which resulted in more than $250,000.00 increased annual revenue.• Redesigned data system test changes and controls to comply with changes in applicable blue sky state laws, rules, and regulations. • Significantly reduced error related expenses for team by 85%. Increased individual productivity by 40%. • Partnered with Business, Risk, Legal and both internal and external auditors to create business best practices, risk mitigation, respond to new rules and support of compliance policies.• Participated in company-wide rollout of SharePoint for tracking state fee data.• Initiated and implemented several cost saving projects allowing for increased revenue, improved accuracy, increased efficiencies, and productivity.• Guided operations team in testing large scale projects to ensure requirements were met and implemented with a high degree of quality.

Oversee all aspects of regulatory filing process including, but not limited to, amending Form N-1A, Plain English and Proxy Rules, registration statements, post-effective amendments, Rule 24f-2 filings, Prospectus and Statement of Additional Information supplements, proxy materials and various state filings. Oversee preparation of Board of Director materials to include meeting agenda, resolutions memorandum and other supporting documentation. Coordinate with outside counsel and independent auditors regarding client requests.