• Manage team responsible for financial operations supporting investment activity in client accounts and reconciling firm banking and investment accounts.• Track and analyze performance of investment options and evaluate new investment and operational improvement opportunities.• Oversee development of Children’s Savings Account (CSA) program and associated software platform. Manage relationships with CSA program sponsor organizations.

• Collaborate with software application users and developers on web and windows software design, development and enhancement; evaluate scope, requirements and utilize Agile processes to deliver business value. • Assist with software application troubleshooting and provide escalated service assistance for account holders. Use Version One online application to manage software development within an Agile framework. • Write basic SQL queries to access data as needed for analysis and reporting.

Client Onboarding; Securities Operations• Application ManagementManage development and enhancement of global AML/KYC client identification program database/GUI to expand regulation/policy coverage and system automation. Coordinate project phases with AML Operations, Compliance and Technical teams located in the U.S., London, Bangalore and Singapore.• Project ManagementDirect projects to improve legal entity data management and database; participate in developing data governance strategy to establish entity master golden copy for reference by global firm-wide systems.Managed data integration and system enhancement projects within Client Onboarding, e.g. SMMP, US Listed Options; evaluate data vendors and facilitate Vendor Business and Information Security Reviews.Developed business case and managed pilot to evaluate vendors’ legal entity data research and maintenance services; drafted PowerPoint reports to communicate results.• Vendor ManagementManaged multiple vendor relationships, including Kingland Systems (US), CounterpartyLink (UK), AVOX (US/UK; DTCC subsidiary) and IBM consultation on data governance processes.• People/Stakeholder ManagementInterviewed/managed four temp employees performing quality control, analysis of vendor accuracy and data upload processWorked with data stakeholders on change management processes and impact analysis

• Led team of business managers and Java/SQL/Oracle developers tasked with creating network programs to replace mainframe functions related to inventory, billing and accounting processes.• Drafted technical requirements for application developers and training documentation for end-users.• Facilitated project meetings throughout design, development, testing and implementation phases.• Communicated with business and IT leaders regarding project issues and milestone achievements.

Client Loyalty & Satisfaction• Conducted vendor search and cost/benefit analysis for IVR survey application - reducing expenses by 60% and increasing survey records by over 100%. • Led matrix team in development of IVR application - included CTI, Traffic, Service Quality Tech and Automated Phone Tech.• Used MS Project and Clarity software to manage tasks, forecast and track costs, clarify risks/issues and obtain exec sign-offs for PM Office.• Directed data management and online reporting to get survey results and client audio feedback to service managers within 30 minutes of client interaction.• Analyzed feedback and recommended training opportunities and best practices to improve client loyalty and satisfaction with phone service and TOA processes.• Managed multiple vendor relationships for mystery shopping, online surveys and comment transcription.• Directed vendor search, RFP process, cost analysis, and implementation of 18-month Mystery Shop program reaching 191 branches.• Directed two-year project with RFP, vendor selection and install of audio and desktop monitoring software at five call centers.• Managed and coached three PMs. Team Manager / Sr. PM, Quality & Innovation• Managed PM team in support of business initiatives by developing online tools for awards/recognition programs.Team Manager / Quality Analyst • Managed team of six analysts and provided individual assignments and performance reviews.• Reviewed monthly reports provided by analysts to service team managers.• Evaluated rep/client phone interactions for accuracy, quality and efficiency and drafted monthly reports.Registered Representative• Provided account service, handled escalated trade calls & disputes and placed trades for brokerage clients.• Contacted clients regarding Fed & Maintenance calls and performed sell-outs.• Developed and instructed broker training program to provide on-the-job learning experience for new brokers.

• Reviewed capital expenditures and departmental expenses and investigated forecast variances.• Provided cost analysis of initiatives, reconciled GL accounts and submitted accruals and adjustments.• Managed five specialists responsible for approving credits and reimbursements for product returns.• Analyzed productivity and streamlined system processes, which reduced refunds processing time by 30%, account reconciliation time 80%, and monthly closing time by 65%.Buyer/Expediter• Negotiated pricing and placed purchase orders for packaging materials and components, including $1MM contract for printed shipping boxes.• Managed assigned SKU inventories and associated purchasing decisions via review of weekly MRP reports. • Performed vendor searches and ad hoc product and service purchases as needed to support business needs.• Directed 14-member team responsible for collating and packaging client training and marketing materials.