Successful Sales/Service/Operations Support Center Executive with an established track record for improving quality, productivity, reducing risk and operating costs in large scale financial services operations. Acknowledged leader in business process improvement, integration of organization cultural changes and the advancement of technology to bring efficiency and deliver an outstanding client experience. Series 7, 24, 63

• Re-engineered New Business operation reducing overall cycle times which resulted in exceeding Six Sigma targets for the firm and a 30% reduction of unit costs.
• Member of the Due Diligence team for the American Skandia Acquisition. Led the integration of service centers consolidating operations from three sites to two, reducing the overall costs by 20%.
• Re-designed existing sales/service models establishing Broker Dealer Service teams to support the distribution of various products through multiple distribution channels.
• Business Process Improvement
• Change Management
• Cost Containment
• Risk Management
• Business Process Off-Shoring
• Operations/Infrastructure Strategy
• Customer/Relationship Management
• Outsourcing
• Performance Improvement

PROFESSIONAL EXPERIENCE

Confidential, Secaucus, NJ 2006 – 2011
Financial Services Division
Vice President, Annuities Service Center
Division Head for Confidential Variable Annuity product line, responsible for new business, scan and mail operations, bookkeeping and regulatory and compliance related activities to support the operation. Provided overall strategic vision and direction relative to technology, quality, risk management and production related functions.

• Re-engineered the new business operation by consolidating departments and eliminating redundant processes. This initiative improved quality and reduced cycle time, achieving firm defined Six Sigma standards and reducing new business unit costs. (30% year over year)
• Outsourced a collection of non-customer facing functions to AXA Business Services in Bangalore, India to deliver a 60% reduction in unit costs. Worked with technology to build a mirrored IT infrastructure, leveraged the Imaging and Workflow to route and transfer work items and instituted health check reporting to monitor performance.
• Established, implemented and drove the compliance and regulatory strategy, oversight included Sarbanes Oxley, State Insurance department exams/requests, 38a-1 requirements, FINRA and SEC exams, Internal Audit and business resiliency.
• Aligned Broker Dealer processing to ensure timely compliance with FINRA rule 2330. This complex initiative impacted multiple business layers including the AXA Advisor branch network and their technical infrastructure.
• Introduced and redefined the new business front end and integrated the workflow with processing functionality. Established intelligent routing to support flawless processing and delivering optimal efficiency.
• Managed and directed the effort to in-source lockbox processing from a major financial institution. The tactical conversion improved quality, reduced cycle times for both funds received and paperwork processed and significantly increased client satisfaction by eliminating issues associated with lost or misdirected paperwork.
• Directed and lead the site conversion from a paper based, manually intensive work environment to a logic drive and automated work flow production process.

Confidential 1986 – 2005
Director, Annuities Service Center, Dresher, PA (1999 – 2005)
Division Head for American Skandia/prudential Customer, Broker and insurance agent call center, responsible for providing strategic direction and focus for overall service provided for the annuity product line.

• Introduced and institutionalized best practices to support diverse distribution channels (i.e. bank, wirehouse, independent broker dealer and agency distribution). Integrated operational functions within the Call Center to provide “once and done” service and applied a tiered service model for top producers.
• Seamlessly and effectively consolidated operations from three sites to two, reducing the overall staff by 20%.
• Partnered with the sales organization to re-engineer existing processes, leveraged the synergies between the service center and sales to introduce workflows designed specifically around client needs.
• Introduced service coordinators to the sales desk, by reducing the amount of administrative tasks the internal wholesaler was freed up to focus their efforts on selling.
• Identified and implemented tactical improvements to increase single call experience, established a co-located dealer/service team able to offer detailed support and respond to both licensing/appointments and new business inquiries.
• Performed ongoing evaluations to measure and monitor overall customer satisfaction using the data to identify improvement opportunities.
• Coordinated sales activities between outside and internal wholesalers marketing and product development areas.

Director, Sales Support Desk, Newark, NJ (1998 – 1999)
Managed sales desk for prudential Investment mutual fund and annuity products distributed through wirehouse and agency channels.

• Redesigned sales desk structure to increase penetration of Prudential mutual fund and annuity products into proprietary distribution channels.
• Coordinated sales activities between outside and internal wholesalers marketing and product development areas.
• Designed and implemented call routing strategies to increase department efficiency and improve relationships with distribution partners.
• Developed and implemented a compensation program to reward both individual and team sales efforts.

Vice President/AVP/Manager, Broker Dealer Services, Edison, NJ (1986 – 1998)
Responsible for all mutual fund call center and operations for proprietary and non-proprietary broker dealer distribution channels. Established and oversaw mutual fund and annuity sales desk for the retail agency distribution channel.

• Established and oversaw a sales desk to support the education and distribution of Prudential mutual fund and annuity products through agency distribution.
• Designed and implemented a contact management system to create targeted campaigns based on production levels which increased department productivity and market penetration.
• Directed and oversaw the “portability” of Prudential proprietary mutual funds through NSCC Networking and FundServ Systems.

EDUCATION

BA
Vendor Management, Technology Strategy, Reengineering/Implementation, Process development