Provide supervision and support to a region of independent financial advisors and their staff, as well as internal business partners and associates, including:• Serve as a compliance resource, provide information on company and regulatory policies and procedures• Serve as an advocate, assist with problem solving, provide education, training, and resources• Perform surveillance of hard copy and electronic correspondence, including adherence to advertising and marketing regulatory policies and guidelines• Review outside business activities • Perform escalated trade reviews• Update department procedures• Special projects including user acceptance testing (UAT), department improvement initiatives, etc.

• Served as a compliance and operations resource, including software and operations training• Conducted on-site and virtual supervisory reviews (audits) • Conducted hard copy and electronic correspondence (email) surveillance, and review of outside business activities • Project management

• Managed a team of 7 internal employees, and collaborated with a team of offshore employees, with a consistent focus on workload and resource capacity, and implementing efficiency improvements• Conducted quarterly, semi-annual and annual performance evaluations, tracked each team member’s progress and completion of required training modules• Reviewed and approved time off requests from staff, employee timesheets, and analyzed weekly productivity data for each team member• Reviewed and approved various operational reports, journals, and transactions, and provided monthly summary of department activity• Researched and managed escalated issues with bank branches reconciliation reports• Participated in annual audit of procedures and revised as needed

• Researched and responded to client inquiries regarding financial markets, investment products, services, transactions, and accounts • Processed mutual funds trades, assisted clients with account maintenance• Conducted case research, resolved and documented problem resolutions and closed outstanding/pended workflow items

• Customer service, including responding to inbound calls and email, scheduling meetings, routing inquiries to appropriate business partners• Supported Wealth Management Director, Advisors, and Field Consultants with calendar management, travel coordination, expense reporting, videoconference set up• Coordinated and assisted with client outreach strategies, including managing client lists, outbound calls, scheduling meetings, preparing meeting materials, data entry input of information into financial planning software, documentation of client interactions into client relationship management system• Collaborated in organizing client seminars, regional meetings, and other internal and external events including: site selection, contract negotiation, event setup and tear down, managing invitations and attendance, creating seminar materials, and registration• Reviewed large volumes of information, consolidated into concise summaries in memo or job-aid format, and distributed to teams• Paperwork and check processing, with adherence to regulatory retention guidelines• Hosted training and information sessions with regard to policies, procedures, software functionality, and/or general information topics• Assisted with onboarding and orienting of new employees; conducted training of administrative staff members• Reviewed documented policies and procedures for effectiveness and efficiency, submitted suggestions for review and implementation• Coordinated and managed facilities and equipment maintenance