Steve Goodrich Email & Phone Number

Charlotte, NC, US

London, GB

New York, N.Y., US

Detroit, MI, US

Detroit, MI, US

Detroit, MI, US

Principal Operations Officer, Risk Management, Fraud Operations & Regulatory Reporting

Mclean, VA, US

Managing all aspects for both Full Service and Self-Directed Brokerage Operations. Responsibility for 12 direct reports and 100 staff across two sites with a heavy utilization of multiple vendors. Departments managed include: Trading; Corporate Actions; Mutual Funds; Client Onboarding; Retirements; Client Reporting; Cost Basis; Estates; Cashiering.

New York, NY, US

Commercial Bank - Managed the Flood Quality Assurance team, performing 100% review of all wholesale loans in a flood zone for 16 lines of business throughout the firm. Identified operational risks and ensured regulatory compliance while working closely with the lines of business on the adequacy of their controls.

New York, NY, US

Global Trading and Asset Services Client Support | Corporate Investment BankManaged client-facing teams for the operational utilities, providing consultative and respondent services for the trade, cash and asset services products. Voice of the client champion on various initiatives with internal partners to improve the overall client experience.

New York, N.Y., US

"The Corporate Actions Section is a Section of the SIFMA Operations and Technology Society focused on education, networking, and the sharing of best practices in the corporate actions, proxy, and settlement sectors of the financial services industry. Its membership consists primarily of operations and technology professionals from broker-dealers, banks.

New York, N.Y., US

"The Customer Account Transfer Section is a Section of the SIFMA Operations and Technology Society focused on education, networking, and the sharing of best practices in the account transfer sector of the financial services industry."Source: http://www.sifma.org/sifma-cat/about/I am also the Co-Chair the Process and Service Improvement Subcommittee.

Omaha, NE, US

• On behalf of the business drove key initiatives from concept to reality, developed new strategies and provided guidance to the business.
• Improved accuracy, consistency and risk management of metrics and controls for the 150+ functions with deployment of MIS tools; dashboard, call tracker and forecasting template.
• Lean data gather, analysis and pilot launch.
• Automated internal and external client notification process for risk mitigation.

Omaha, NE, US

• Developed and executed plans of action to resolve isolated and ongoing issues by working with all facets of the business.
• Launched and maximized off shoring with a 40% shift in resources and volume.
• Process reengineering for efficiencies, transparency and risk mitigation. --- Automated Residual Transfers. --- Status alerts to clients and internal business partners. --- Thresholds established for managerial controls.

US

• After the site shutdown I managed the new startup teams in the New York and Washington DC regions, transitioned and advised the new leadership as they assumed control. The departments for both Brokerage and Bank.
• New Accounts
• Account Maintenance
• Estate/Divorce
• Retirements
• Tax - Client Reporting

US

• Manage several departments in a results-oriented, high-energy, dynamic fashion with both the stamina and mental agility to work and thrive in a fast-paced environment. Responsibilities include vendor oversight.
• Within 8 short months successful, on time conversation of over 1.2MM, Name and Address records from Brown Co and Harris Direct.
• Synergized Bank and Brokerage and minimized/eliminated waste work by 25%.
• With Cash Management I oversaw processing 70,000 transactions ($2+ billion) per week with a less than 0.1% error ratio.

San Mateo, California, US

• Delivered superior service to customers, while building the trust of all shareholders and financial advisors and protecting the best interest of the funds.
• Company/customer liaison to internal departments, shareholders, financial professionals, broker dealer back-offices, and other organizations and successfully resolved issues, problems and complaints.

San Francisco, California, US

• Regularly exceeded aggressive sales goals, which were measured daily with an emphasis on customer interaction while never missing an opportunity to enhance the customer's relationship.
• Received numerous customer accolades for delivering friendly customer service and ensuring the highest level of customer satisfaction.

Charlotte, NC, US

Provided clients with thorough answers to their questions, cross sold products and services and lead laterally by setting an example of a solid work ethic with superior customer service.

Mba

Securities Industry Institute

Bs, Criminal Justice