Robert Cooper Email & Phone Number

Institutional Conversion teamSeries 6Series 63Transfer of assetsConversion of plans

NJ & Dresher, PA

Series 6 and 63

Managed annual projects associated with IRS & DOL deadlines (1099Rs, RMDs, SAS70)Coordinated and led all Disaster Recovery business testing for the PA and MN locations.Development of project charters, project plans, meeting updates along with on time effective communication to the project team and our leaders.

Manage the day to day operations of forty associates within the Transaction and Distribution Processing units, including off-shore management and associates.Implement various improvement initiatives within the small market operational units. Manage daily deliverables. Ensure all internal/external service level agreements and quality standards are met.

Analyzed various work-flows within the Fulfillment department and identified areas of cost savings. Implemented these cost savings initiatives which saved hundreds of thousands of dollars in the initial year.Negotiated various vendor contracts in coordination with our Provided direction and testing for the “new look” statement project. Coordinated all.

• Responsible for performing the following tests for defined contribution plans: mid-year and year end non-discrimination testing as well as annual additions.
• Prepared Tax Form 5500 and related attachments as required by the IRS.
• Reconciled assets on all small and middle market conversion plans.
• Responded to client and auditor’s questions regarding various compliance issues, along with fielding questions from account representatives and managers.
• Implemented and conducted a compliance training program for all new hires.
• Developed metrics to prove the necessary head count needed for the Compliance department.