Complex Operations Manager Resume Walnut Creek, CA - Hire IT People

SUMMARY

Eight years of working experience in the financial industry. Comprehensive experience in project management, client services, investment analysis, and career development. Able to manage multiple projects and meeting deadline. Supervise 18 branches that generate total revenue of $285 million annually and support 300 Financial Advisors.
Coach and educate all branch employees on operational procedures. Implement operational controls that reduce fifty - thousand dollars loss on trade errors and successfully handle daily transactions. Strong understanding of the regulatory environment including the laws and regulations associated to FINRA. Pass firm annual audit with no written findings the last three years.
Self-motivated, detail oriented and strong analytical skills. Able to resolve issues quickly and professionally.

TECHNICAL SKILLS

FINRA Series 7, 66, 9 & 10
CA Insurance License
Fluent in Cantonese and Vietnamese.
Customer Relationship Management (CRM) system.
Strong problem solving and analytical skills.
Strong knowledge of Microsoft Office programs, including Outlook, Word, Excel, PowerPoint.

PROFESSIONAL EXPERIENCES

Confidential, Walnut Creek, CA

Complex Operations Manager

Responsibilities:

Manage and perform operational approvals for new accounts and assets received and delivered, fed fund wires, journals and trading errors, and partner with branch compliance officer to identify risk and passing the annual audit.
Manage operation’s related client issues and complaints following firm policies and regulatory requirements.
Coach and educate all employees on operational policies and procedures and the UBS platform.
Supervise and effectively communicate with a team of 10 operations specialist, while assisting customers with brokerage account regarding equity, fixed income, and mutual fund to ensure running smoothly and meet services excellent standards.
Quickly resolve any problem that arises and handle client complaints and escalate to higher level management.
Closely monitor all transactions and document and maintain monthly reports for upper management team.
Effectively communicate and build strong relationships across three complexes with 200 financial advisors.
Communicate and ensure support staff follows operational procedures and compliance with risk management guidelines and principles set forth by the firm.
Conduct performance reviews; make hiring, promoting, disciplining and terminating operational support staff in accordance with firm policy.

Confidential, San Francisco, CA

Assistant Operations Manager

Responsibilities:

Managed operation’s related client issues and complaints following firm policies and regulatory requirements.
Assisted Operations Manager to supervise the receipt, disbursement, protection, custody of client’s funds, securities and financial instruments.
Accountable for all branch operations including supervisory review of daily branch report of newly opened accounts, wire disbursements, trades and incoming and outgoing correspondence.
Provided answer to internal staff regarding trade review, coaching and training new staff.
Passed the annual audit without excellent rating.
Resolved discrepancies between client’s account and filed detail reports.

Confidential . San Francisco, CA

Registered Branch Service Associate

Responsibilities:

Entered equity and mutual fund orders via the operational system
Assisted branch staffs with operational procedures and answered inquiries in a timely manner
Performed check deposits and margin activities.

Confidential, Fremont, CA

Senior Member Service Loan Officer

Responsibilities:

Opened new accounts, funded auto loans, and cross-sold new and additional banking products to existing members.
Reviewed the daily journal reports for the movement of assets between account to ensure journal entries are correctly posted the credits & debits.
Ensured that foreign currency exposures are accurately identified, reported and managed in accordance with company’s guidelines.
Assist approximately 100 customer inquiries daily and resolved 100% of their problems regarding their cash deposits, withdrawals, wire transfers, loan issues and any discrepancies.
Strong customer service skills and capable of multi-tasking and yet still was efficient and productive.