Objective
Seasoned investment operations professional with over 13 years of experience with a record of achievement technology and operations performance, client satisfaction and revenue growth in wealth management while working with globally located teams.

Highlights

• Project and Operations Manager with experience in leading and delivering business critical initiatives with globally located teams. Deep knowledge of, Investment Management and Trade Operations, Account Opening and Closing procedures,401K,Real Asset Operations, Retirement products, Derivatives Processing, Securities, Funds Accounting and Reporting ,banking products and procedures, ACH, Wires, and Credit Card payments, validating systems, regulatory compliance, privacy and change management.
• Experienceinbusiness processing for Shareholder Servicing, Retirement Services, Client Servicing, Corporate Actions Processing and Domestic/Global Custody Broker Operations Strong ability to understand, analyze, and design business processes and workflows with the objective of providing recommendations for the best use of technology. Deep understanding of relational databases and data modeling.
• Traveled to India for 3 months as SME to establish and train the offshore Document Management,Class Actions, Bill Pay, Income Processing and Cost Basis Adjustments teams for the entire Trust and Security Operations Unit.Offshoring the process resulted in cost savings of $ 4 MM annually.

EXPERIENCE

Confidential, Senior Team Group Operations Manager, 2006-2011
Confidential-Boston, MA.

• Responsible for managing the day-to-day operations and provide leadership for 90 member onshore and offshore teams consisting of 5 TL/AM’s for the class actions, income processing, bill pay, document management team for the Trust and Philanthropic Management groups,Real Estate group, Private Bank Operations, Security Operations and Banking Groups.
• Responsible for the successful implementation of Retirement Services small market conversion plans and management of the client relationship from the point of plan approval, through payroll setup, asset transfer, recordkeeping conversion and transition to Client Services.
• Enroll new enrollments and assemble master contracts, Monitor suspense activity and gain loss reporting, Relieve suspense to offset manual requests, Process incoming contributions, rollovers, transfers and exchanges via check or wire, Process loan payments, Process fund transfers, allocations, dollar cost averaging and GAA renewals and transfer, Communicate with field agents, Marketing offices, third party vendors, sponsors and participants, Review paperwork for good order.
• Lead operations team to ensure excellent customer service, deriving operational efficiencies and compliance with all policies and procedures. Instrumental in developing brokerage applications with developers and project managers. Conduct staff reviews, coach and lead staff toward career goals, managed staffing levels to include interviewing and hiring of new staff and conduct annual staffing incentives and bonuses.
• Provide project management, technical and systems support for conversion of business systems, reengineer business processes, streamline operations and facilitate the evaluation, selection, and implementation of supporting software solutions. Provide operational support to relational ship trust officer’s lawyers, portfolio managers and line of business partners for high net worth clients.
• Ensure adherence to Service Level Agreements, Lead multiple projects to ensure performance gap closures. Responsible for ensuring Risk Management and adherence to Compliance. Establish and test Business Continuity and Contingency Procedures 
  Capture gaps between current state workflow and product deliverables to address potential workarounds for the customer. Analyze, document and translate business requirements into system requirements and conducting requirements walkthroughs. Develop functional and technical specifications for business process refinement and automation. Liaison between business users and technical support groups

Senior Team Manager, 2003-2006-Dallas, TX 
Confidential

• Lead operations team to ensure excellent customer service to internal business partners, deriving operational efficiencies and compliance with all policies and procedures. Delivery of on time and quality service to our LOB partners.
• Maintaining E2E process metrics / Customer Focus Metrics/ Business Metrics / CTQ Revalidation.
• Identifying, Implementing and Replicating ideas and Best Practices including onshore adoption.
• Ensuring High Scores Associates Satisfaction and Voice of Partner Survey.
• Rigor on Internal Governance and ensuring timely updating of Audit Related Documentation.
• Manage the Self-Id Audit Issue Process ensuring that (internal / external) audit issues should to be identified by the process/function itself.
• Work in conjunction with testers, developers and other team members testing complex scenarios in validation and testing complex scenarios and projects and defining quality parameters during the complete development lifecycle. Coordinate testing on UAT and SIT and translate business needs into technical requirements. Contribute to High Level Design (HLD) and work with Development team to understand requirements in order to create the LLD.

Investment Operations Team Lead 1997-2003-Seattle, WA. 
Confidential- Wealth and Investment Management

• Review the accounts are appropriately coded and opened on the brokerage and imaging systems.
• Responsible for managing the Information Service Team and ensuring that all KYC, trust and fiduciary documents are appropriately coded, imaged,indexed,routed and archived for Trust Service City Offices and Private Bank Center.
• Review and approve transactions and disbursements of funds and wires for fiduciary trust and philanthropic management groups.

Education

• Masters of Business Administration
• Bachelor of Arts