As the first full-time operations employee of the broker/dealer, I worked closely with other principal departments including legal, compliance, product, engineering and sales in order to create an effective and fully functioning framework for all the processes, procedures, and best practices for the operations team, while adhering to regulatory and compliance requirements. My responsibilities in this role included overseeing all the investor onboarding, market transaction setup, account maintenance, account termination, treasury functions, and customer support inquiries. I worked as a subject matter expert to guide the product team in developing back and front-end tools that provide better client experiences, build efficiencies and help mitigate risks. I played a leading role in building the foundation that allowed the business to scale the operation team and increase the client onboarding volume. I managed the Customer Support correspondences and phone lines to help troubleshoot customer issues and help clients navigate our trading platform. I was the hiring manager for the majority of the Brokerage Market Operations team.

In a leadership position, I worked with recruiters to hire and train a team of temporary and full-time employees to achieve firm goals. I collaborated with various Carta teams to identify and analyze risks and compliance shortfalls within the custody department. I developed a framework from the ground up to control and correct risk and compliance deficiencies. The framework included new workflows, new approval controls and proper documentation. I played a key role in implementing a new Broker/Dealer books and records program (Shadow Financial). For Shadow, I oversaw the initial bulk data migration, ongoing account creation/maintenance/closure, daily journal entries and monthly reconciliations. I oversaw all aspects of the Broker/Dealer client lifecycle from prospecting, on-boarding, client education, account maintenance, enhancement requests, and off-boarding.

Mutual Fund operations where I serviced mutual funds for the complete product life cycle from fund inception to fund decommission. This included working with a variety of 3rd party fund managers and clearing firms to resolve complex problems.I assisted in trade entry, matching, execution, booking and settlement of a wide range of investment products in multiple markets both domestic and foreign. I ensured trade/transfer instructions from a wide range of portfolio managers were executed successfully. I educated high profile prime brokerage and institutional clients about algorithm orders. Oversaw, researched, and resolved the reconciliation of internal broker accounts, client accounts and segregation accounts. Identified gaps in processes and procedures that were either creating unnecessary risk, excessive processing, or redundant checks and created controls to fix them. Served as a LEAN coach to help implement LEAN methodology across the Private Wealth Management (PWM) division.

Responsible for supporting internal and external customers by providing moderately complex to complex support services in trades, settlements, corporate actions, events, operations, documentation, customer service and technical support. Duties include: acting as primary liaison between customer and firm, answering questions and solving problems involving all firm departments; making customer calls with relationship managers; ensuring proper booking and maintenance of tracking and monitoring portfolio on an ongoing basis for compliance, position, documentation exceptions, overdrafts, accounting, maintenance of files and reports, letters of credit, pricing and delinquencies; preparing financial and profitability reports and loan reports; participating in special projects relating to product conversions and new product development. Provide assistance to lower level staff.

Created a book of business by knocking on residential doors and presenting benefits to help people address their financial needs. Increased my ability in being able to tailor personal solutions based on clients’ unique situations.

Served in a leadership position to recruit and manage a team of alarm technicians. Organized, established, supervised and closed temporary offices in Las Vegas, San Francisco and Houston. Responsibilities and skills acquired include: Corporate inventory management (purchasing, selling, distribution, and reconciliation of inventory). Maintained a 3% inventory loss in the summer of 2009 when the company average was approximately 5%. Time management combined with scheduling efficiencies to produce superior results and productivity. 95% of all installs were completed on the same day that they were sold in summer of 2010. Supervised employee operations quality through inspections and customer feedback.Coordinated and supervised over 5300 home security installations in 16 months. 4 months in Las Vegas, 4 months in San Francisco, and 8 months in Houston