Sarah Theis Email & Phone Number

Malvern, Pa, Us

Oaks, Pennsylvania, United States

Lead a specialized team in successfully onboarding banks and wealth management firms with a minimum of $1B AUM to the SEI Wealth Platform from their original source system(s). Projects require attention to detail and budget while working in high pressure environment directly with the Executive team of the onboarding firm to ensure all firm and client financial data, reporting, regulatory, and business requirements are captured, executed and correctly reflected and exceeding expectations on the… Show more Lead a specialized team in successfully onboarding banks and wealth management firms with a minimum of $1B AUM to the SEI Wealth Platform from their original source system(s). Projects require attention to detail and budget while working in high pressure environment directly with the Executive team of the onboarding firm to ensure all firm and client financial data, reporting, regulatory, and business requirements are captured, executed and correctly reflected and exceeding expectations on the SEI Wealth Platform, while adhering to a strict timeline and deliverable date. Show less

Oaks, Pennsylvania, United States

Ensure daily balancing of cash, mutual fund and stock accounts for private bank and financial advisor firms. Team comprised of entry level to senior level employees located in both India and US. Focused on cost reduction through process improvement and employee training and development.

Oaks, Pennsylvania, United States

Successful led a diversified unit comprised of several different teams in both the US and India serving US Private Bank and Financial Advisor firms. Continuously exceeded client and department expectations with a proactive management style focusing on reduced cost, and both regulatory/financial risk through sustainable and repeatable process improvement and employee development. Unit consisted of the following teams:Anti Money LaunderingEscheatmentTechnology Support… Show more Successful led a diversified unit comprised of several different teams in both the US and India serving US Private Bank and Financial Advisor firms. Continuously exceeded client and department expectations with a proactive management style focusing on reduced cost, and both regulatory/financial risk through sustainable and repeatable process improvement and employee development. Unit consisted of the following teams:Anti Money LaunderingEscheatmentTechnology Support ServicesGlobal Data ControlsProject Management ServicesBusiness Intelligence Show less

Privacy Coordinator

Chosen to fill a new position in a relatively young department created specifically to evolve and integrate global data governance and privacy requirements across the business, I was asked to ensure regulatory compliance, reduce costs, and improve efficiency. I handle all daily reported private incidents, large privacy incident response, and privacy incident prevention, education, and training for 14K+ employees in 11 countries. I build relationships across the organization to centralize… Show more Chosen to fill a new position in a relatively young department created specifically to evolve and integrate global data governance and privacy requirements across the business, I was asked to ensure regulatory compliance, reduce costs, and improve efficiency. I handle all daily reported private incidents, large privacy incident response, and privacy incident prevention, education, and training for 14K+ employees in 11 countries. I build relationships across the organization to centralize, streamline, and homogenize privacy efforts and communications.> Established Global Privacy Framework to identify gaps in current program and account for global expansion> Created 3 privacy training modules (1 for US, 1 international, and 1 enterprise wide for use by 14K employees in 11 countries) to meet regulatory privacy requirements, create awareness of privacy issues, and manage/reduce potential privacy incidents> Eliminated mailing to known bad addresses, which reduced a significant expense and potential risk exposure Show less

Transitioned into newly formed position, I was tasked with ensuring senior staff as well as employees within the department fully complied with all FINRA-required regulations. I performed risk mitigation, compliance oversight, and business contingency planning for the $35B Business Development Group Concierge Services with 600 employees at 3 US locations. My role in this newly created position also included offering solutions to identified and unidentified problems, formalizing and updating… Show more Transitioned into newly formed position, I was tasked with ensuring senior staff as well as employees within the department fully complied with all FINRA-required regulations. I performed risk mitigation, compliance oversight, and business contingency planning for the $35B Business Development Group Concierge Services with 600 employees at 3 US locations. My role in this newly created position also included offering solutions to identified and unidentified problems, formalizing and updating processes, and preparing monthly, semi-annual, and annual compliance reports. I responded to 30 internal audit and compliance inspections annually, and developed plans to address issues. > Recognized by internal auditors for creating a new Compliance Oversight Program to support department restructuring – praised as world-class program> Ensured proper execution, staffing, and resources for 36 contingency readiness exercises annually as well as employee safety and minimal loss of business during actual events> Thwarted potential risks by identifying major gaps and other key factors> Provided risk assessment and compliance considerations for new advice services Show less

I was promoted into a management position to supervise up to 15 Client Relationship Associates in a client contact center handling approximately 60 calls per day per person. I closely monitored employee responses to client inquiries via phone, Internet chat, or email for FINRA compliance, professionalism, problem resolution, internal procedure management, and client privacy. Part of my role was to provide ongoing training to maintain the highest employee knowledge about products, services, and… Show more I was promoted into a management position to supervise up to 15 Client Relationship Associates in a client contact center handling approximately 60 calls per day per person. I closely monitored employee responses to client inquiries via phone, Internet chat, or email for FINRA compliance, professionalism, problem resolution, internal procedure management, and client privacy. Part of my role was to provide ongoing training to maintain the highest employee knowledge about products, services, and market position. When needed, I served as a point of escalation for complex or unresolved client issues. I utilized my leadership skills to assist and encourage employees with opportunities for advancement.> Reduced cost and cycle times on client requests> Transformed team from worst rating in client handling statistics to top 5 (across 3 sites) in just 6 months> Coordinated rollout of eSchedule Planner to associates and management at multiple sites> Improved how the Retail Investment Group (RIG) managed client account addresses and monetary options while decreasing time to resolve problems> Championed creation of an interactive guide for associates/management to use in handling problem cases > Created and led training for employees and management across 3 US locations Show less

Fast-track promotion into institutional tax department, I was entrusted with the daily management of institutional NQP line of business with $1B in assets. I managed the verification and reconciliation of daily tax withholding as well as ensured contributions/distributions were calculated properly. Another responsibility I was tasked with preparing and submitting monthly, quarterly, and annual tax filings for federal, state, and local agencies. I provided leadership, guidance, and technical… Show more Fast-track promotion into institutional tax department, I was entrusted with the daily management of institutional NQP line of business with $1B in assets. I managed the verification and reconciliation of daily tax withholding as well as ensured contributions/distributions were calculated properly. Another responsibility I was tasked with preparing and submitting monthly, quarterly, and annual tax filings for federal, state, and local agencies. I provided leadership, guidance, and technical resources to junior associates.> Successfully completed preparation and distribution of annual TEFRA mailing consisting of 90K letters of information sent to participants of 3 different institutional plans in 2 months> Initiated new processes and procedures for use with tax reporting and in various departments> Saved significant time and money while improving accuracy, reducing filing fees and penalties Show less

Hand-picked for promotion to manage up to 1,000 complicated issues annually, I resolved/addressed concerns and inquiries of plan participants regarding Defined Benefit, Defined Contribution, and Non-Qualified Plans. I also served as the technical resource to associates, management, and recordkeeping services. When needed, I provided plan information to potential clients at nationwide benefits fairs and overview presentations. > Increased confidence of plan participants and reduced… Show more Hand-picked for promotion to manage up to 1,000 complicated issues annually, I resolved/addressed concerns and inquiries of plan participants regarding Defined Benefit, Defined Contribution, and Non-Qualified Plans. I also served as the technical resource to associates, management, and recordkeeping services. When needed, I provided plan information to potential clients at nationwide benefits fairs and overview presentations. > Increased confidence of plan participants and reduced instances of personal caller requests> Reduced average case resolution time from 5 days to 2.8 days per case> Assumed ownership of complex retirement plan and re-wrote internal reference documents Show less

Promoted after one year with the company, I was asked to manually correct account errors made by other departments when making changes to Defined Contribution Institutional Plan Participation accounts. Processed approximately 600 complex corrections in an average year in addition to completing workload for absent employees, all while maintaining full compliance with internal, client policy, SEC, and IRS regulations.> Exceeded processing standard 99.7%

My initial position with Vanguard was as a customer service agent providing plan-specific information and processing transactions for plan participants calling Vanguard’s Institutional Communication Department. I also worked in this capacity from 2003 to 2004. In this role I assisted as many as 12K participants annually to maximize utilization of defined benefit, defined contribution, non-qualified, and 403(B) retirement plans.> Proactive in obtaining Series 6 and 63 licenses

Ba, Organizational Leadership

Marine Biology