Thomas Swindle, Cep, Fge, Ndef Email & Phone Number

Nashville, Tennessee, United States

• Oversee the strategic product development vision for the equity plan business, driving current and future features and functionality. • Establish training programs for employees including: three levels of equity plan education, software application training, client support soft skills, and use of standardized procedures. • Manage corporate client training and engagement sessions through UBS University. • Lead local employees as Nashville Site Manager for Workplace Wealth Solutions (WWS) • Represent UBS WWS at industry events as a subject matter expert, presenter, creating brand awareness, building relationships, and advancing the future of equity plans.

Greater Nashville Area, Tn

• Managed teams responsible for providing client service for companies utilizing the UBS Workplace Wealth Services, Financial Reporting services.• Strengthened relationships with strategic industry partners, developed initiatives to drive corporate client loyalty and overall satisfaction, assisted with new business sales demonstrations.• Led client migrations from legacy Financials Online application to UBS Plan Admin Pro powered by Shareworks.

Greater Nashville Area, Tn

• Responsible for providing equity compensation financial reporting services to publicly traded companies totaling over $8 billion in unamortized expense.• Subject matter expert and UBS industry representative for share-based compensation accounting under ASC 718 and IFRS2.• Conducted software demonstrations for existing corporate clients and sales prospects.• Received 98% client satisfaction for financial reporting service on UBS client satisfaction survey and was highly ranked on Group Five industry survey.• Coached, developed, set goals and provided performance feedback to employees.• Delegated responsibilities to team members and establish periodic touchpoints to ensure all client deliverables were completed accurately and delivered on schedule.• Encouraged each team member to respectfully challenge the status quo and create new ways to become more effective and efficient.

Greater Nashville Area, Tn

• Provided clients with support during month/quarter/year end reporting periods.• Resolved complex issues with Stock Compensation Expense, Disclosures, Diluted EPS, Deferred Tax Asset, Share Balance, and Proxy reporting.• Identified ways to build relationships and increase client loyalty by suggesting best practices, developing creative solutions, and establishing detailed procedures.• Led short-term special projects and provided clients with consultative style support on corporate actions.• Created custom queries using SQL to perform detail analysis and troubleshoot issues.• Managed multiple tasks and timelines simultaneously and prioritize client escalations.• Determined ways to enhance internal processes to increase productivity.• Collaborated with internal partners on inquiries and corrections.• Worked with Implementation Team to ensure a smooth transition for new clients.• Responsible for compliance with SSAE18 SOC 1 procedures.

Greater Nashville Area, Tn

• Administered complex equity compensation plans for multinational companies, maintained corporate client databases, processed updates, monitored incoming file feeds, and provided reporting as needed.• Responsible for all aspects of client events and procedures including: restricted stock releases, employee stock purchases, corporate actions, special termination processing, online grant agreements, leave of absences, cash & stock dividends, mobility taxation, 6039 mailing, and China SAFE.• Earned the Certified Equity Professional (CEP) designation, June 2008

Nashville, Tennessee, United States

https://www.naspp.com/membership-community/volunteer-committees/regional-chapter-representatives

Greater Nashville Area, Tn

Chapter Website: https://www.naspp.com/Community/Chapters/South/Nashville

Greater Nashville Area, Tn

• Processed monthly investment account statements for financial institutions, calculated and validated rate of returns, discovered and resolved errors in data feeds.• Collaborated with other departments to create and implement best practices, and worked with developers to enhance the software platform.

Greater Nashville Area, Tn

• Developed personal financial plans that helped clients prepare financially for life events by focusing on their retirement, educational funding, and life insurance needs. Set up company retirement plans for small business owners and their employees.• FINRA Series Licenses: Series 6, Series 63, Series 65, •Life and Health insurance license.

Greater Nashville Area, Tn

• Processed weekly payroll, inputted accounts payable, developed job profitability reports, prepared monthly & quarterly reports, complied year end W2 and 1099 statements, and submitted tax payments to the IRS.

Bachelor'S Degree, Banking, Corporate, Finance, And Securities Law

Activities and Societies: Member, Beta Gamma Sigma Honor Society Accredited by AACSB International 2005 Member, The Financial Management.

Associate'S Degree, Business/Commerce, General

High School