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.

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.

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.

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..

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.

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.

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.

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.

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.

Ba, Organizational Leadership

Marine Biology