Tracy Saylor, Msm Email and Phone Number

Direct supervision for multiple sales and sales support teamsBuilt procedures, training, client communication and conversation models to align with specific areas of supportCreation of various support teams to allow sales teams to focus on sales producing activitiesProject management, workflow design and support, change management strategies, and cross department adoption

Administration of the regulatory compliance programs for investment managers, public and private investment funds/pools, commodity pool operators, commodity trading advisors, and/or broker/dealer clients.Provided surveillance monitoring for compliance with written policies and procedures; accessing, analyzing, and maintaining incoming and outgoing compliance documentation including portfolio valuations and reports functions such as trade execution or soft dollar expenditures.Preparation and surveillance of compliance packages and mock audits.

Daily supervision and risk mitigation over branch financial advisor activities, covering multiple branches in assigned marketReview of all compliance systems/reporting and regulatory reporting for assigned branchesPrincipal approval on advisor correspondence, marketing/seminar materials, websites, and outside business activities/accountsComprehensive review of advisory program guidelines, suitability of programs/advice provided for branch advisorsDocumentation of all branch complaints received through resolution and principal approval on all investment objective changesDelivered risk and compliance directives to assigned branches and advisor coaching

Head of new Centralized Supervision Department within Morgan Stanley Wealth Management Risk created to monitor firm compliance with Department of Labor Fiduciary Rule/Best Interest Standard across firm population of approximately 17,000 advisorsLocated in Baltimore MD, department provided national oversight and supervision of firm financial advisor activity as it applied to the best interest standard, suitability, advisor conduct and sale practicesResponsible for all aspects of resource and talent management strategies, including two team managers (VP) and their regional teams Creation of new or enhanced firm controls to address new regulatory notices, metrics and/or pattern/trend data, working closely with technology developers to create proper requirements to meet business needDeveloped and executed strategy for all department objectives, training, procedures/processes, and field communications to advisors Led collaborative partnerships and dialogue through cross department communication with field risk, branch, compliance, and legal management partners to ensure consistent monitoring and delivery of fiduciary ruleFacilitated resolution of escalated advisor issues with branch, legal and compliance managementDevelopment of strategy for rollout of new alerts for monitoring advisor activity; creation of training for department and field risk partnersCommunication with key stakeholders of new alerts/changes to ensure smooth implementation and understanding of alertsProject and workflow management, metrics creation and monitoring, and escalation of advisors requiring heightened supervisionSite principal monitoring all aspect of department principals’ disclosures, outside business interests, licensing, and expenses

Oversight for group of Financial Solutions Advisors; ensured delivery of core business performance metrics, consistent client experience and continuous improvement of client satisfaction, conversion, retention, and advice deliverySupervision/review of advisor recommendations, trades, and trade execution consistent with company investment processResolution of all escalated client issues and complaints, large tickets approval, and review of recommendations provided to clientsCoached advisors to enhance their consultative process, provide holistic financial solutions and provide appropriate financial plansLed a group of Financial Solutions Advisors to ensure delivery of core business performance metrics, consistent client experience, and continuous improvement of client satisfaction, conversion, and retention

Management of the T. Rowe Price Enterprise Help Desk, providing strategic direction around application management to group Managed all aspects of a technical support call center, supporting associates in all T. Rowe Price locations (domestic and international) as well as external shareholders, 401k participants, plan sponsors, institutions, and vendorsEvaluated opportunities for improvement/change in business processes and legacy proceduresTracked and reported of all operational metrics, governed and addressed any variance that impacted documented service levelsManaged the Enterprise Switchboard, T. Rowe Price hardware and software requests and all aspects of Knowledge ManagementManaged, identified, and implemented strategic initiatives, leveraging technology to improve customer service, workflow efficiency, enhance knowledge management, position corporate growth (domestically and internationally), and maintain costs and scalabilityResponsible for all aspects of resource management and talent management strategies, including performance management and recruitingProvided direct supervision to Help Desk Manager team to ensure appropriate development plans and performance management of associates Forecasted staffing, resource allocation, workload for department and budget (project and staffing)Estimated staffing requirements; adjusted for business and technology cycles by maintaining a strong vendor relationship to support a variable staffing model up to 50% of the total Help Desk StaffManaged a virtual workforce that makes up approximately 50% of the total Help Desk StaffFacilitated resolution of escalated issues/complaints among multiple departments across Enterprise

Group Manager in T. Rowe Price 401K and Small Business Call CentersDirect oversight for group of 5-6 supervisor teams in two different call centers (401k and Small Business), each team with 10-15 associates Managed day to day service levels, metrics, quality, and service standardsFocused on building supervisor competencies and capabilities through direct coachingConducted participant tours for existing 401k clients and new 401k prospectsResponsible for regulatory licensing, compliance oversight, business initiatives recruiting and training for both departments Resolved escalated issues, officer complaints, and fraud items by partnering with business partners and working directly with customers Coached supervisors to performance management strategies and implementation of coaching toolsResponsible for rolling out new department initiatives, working with broader cross-site leadership team to ensure proper communication strategy is used to maximize adoption of change Participate in cross-functional business planning to ensure the departments are operating in alignment with the overall business strategy and that departments are leveraging business partners, to achieve both departmental and broader company operational goals

Supervision of team of senior level quality and training associatesDaily management of workflow, service levels and performance managementRebuilt quality team, quality and department processes; looked critically at legacy processes to update and build efficienciesUpdated procedures, evaluated quality control, risk, and worked with leadership team to mitigate risk and enhance controlsWorked with other departments to promote an optimal customer experience and reduce risk/inefficiencies Evaluated risk and partner with business line supervisors and updated procedures to mitigateResolution of privacy breaches, compliance, and fraud issuesCreation of department objectives, new policies, training curriculum and recruiting guideCoached associates to execute on desired behaviors; managed change: procedural and behavioral

Sales Manager- Investment Services/Retirement Services (Inbound/Outbound/High Value)Day to day management of hybrid team of sales phone associates comprised of inbound, outbound, and high value sales associatesResponsible for sales coaching, performance management, business planning, complaint resolution, and associate developmentIdentification of improvement areas and provided associates a tactical action plan on how to improveWorked closely with key business partners to determine outbound call strategyLed program to attract and develop future sales associates(internal)Experienced with sales leadership of retirement and individual investor sales associates

Assist supervisor in day-to-day management responsibilities of small business retirement specialists and plans Provided night supervisory coverage and complaint resolution for Maryland and Tampa team locations

Provide service and guidance to 401(k) participants regarding investments and retirement planningMet with 401k plan participants face to face across the country to provide and educate on enrollments and distribution