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Stewarts Ferry Pike Nashville, TN
A Senior Operations Professional with more than years of financial services industry experience with a demonstrated ability to deliver highlevel results, achieve overall strategic initiatives, and deliver "bestinclass" client service by managing intellectual capital, analyzing current states, creating desired future operating environments, managing mission critical projects, implementing best practices, driving effective execution and measuring key results.
Areas of Expertise
* Financial Services Operations & Technology Bank, B/D, Investment Mgr
* Recruiting/Training/Evaluating/ Career Pathing/Retaining Top Talent
* Regulatory Compliance
* Driving/Leading Key Initiatives to Exceed Shareholder Interests
* Risk Mitigation
* Best Practices/Automation
* Forging Strong Partnerships
* System/Account Conversions and Implementation
* Documenting/Implementing Detailed Procedures
* Project Management
* Vendor Relationship Management/Scorecards
* Executive Management
* Client Service, Account Management, Trading, Reconciliation, Performance Measurement
* Operations Training
* Security Master Files
* Process Excellence Initiatives
Regions Financial Corporation Memphis, Tennessee
Morgan Keegan & Company, Inc.
Wealth Management Services Investments Department
Vice President / Director of Operations
Responsible for the daytoday direction of all key operational services, client suitability supervision and strategic planning as related to Alternative Investments within Wealth Management Services WMS working with over fund companies spread across Nontraded REITs, Managed Futures, Hedge Funds and Fund of Funds and Private Equity Funds with AUM of approximately $. billion.
* Collaborated with IT to develop a database to warehouse all customer account information, suitability and transactions to reduce manual entries and errors as well as enhance executive management and regulatory reporting requirements.
* Partnered with the NSCC DTCC on initiatives in the Alternative products area on automating all customerrelated transactions, including purchases, redemptions, dividends, cash movements and commission payments.
* Responsible for working with Legal/Compliance and regulatory agencies with respect to FINRA, SEC and NFA examinations, including collection and delivery of data requests, final responses, followup and onsite regulatory interviews.
* Engaged with WMS and the Bank&;s Trust departments to incorporate product offerings across platforms.
* Participated in the WMS Mangement Committee to redesign the monthly customer statement with an eye towards developing the Unified Managed Account platform.
* Responsible for Compliance Email Survellience for the Investments Department.
Professional Experience Continued
Bank of America Corporation Charlotte, North Carolina
Columbia Management Group CMG
Senior Vice President / Director of Operations
Responsible for the direction of all key operational services and strategic planning as related to Managed Account Services MAS working with sponsors and investment products within CMG, including Marsico Capital Management as well as proprietary Bank of America investment product teams.
* Transitioned MAS business from St. Louis to Charlotte and built a team from to while Assets Under Management AUM increased % from $.B to $B and account volumes increased from , to over , accounts while creating efficiencies and automation that reduced errors by %/quarter, associate task time by hr/day, and new headcount costs by increasing number of accounts/associate by % semiannually approximately $,/year
* Responsible for working with internal compliance partners on all aspects of separately managed account business, including regulatory examinations, filings and supervising associate completion of the bank&;s code of ethics, KYC, AML, Client Complaints, Gifts policies and procedures.
* Accountable for developing and deepening internal and external channels and relationships, including IT, Legal/Compliance, Portfolio Managers, Broker/Dealer, Private Bank, Bank Trust, Software Vendors/rd Parties.
* Developed Best Execution Trading Analysis and Reporting.
* Streamlined endtoend processes to reduce complexity, increase efficiency and mitigate risk, enabling teams to focus on higher priority tasks that add value to the client experience.
* Partnered with the bank&;s Six Sigma team to develop and implement process excellence projects
* Developed Service Level Agreements, Audit Reports, and a Metrics Dashboard to periodically measure operations in all functional areas to manage more effectively and deliver a better client experience.
* Responsible for attracting, engaging, training and retaining a diverse, high performing, flexible workforce.
* Assertive participant on the Money Management Institute&;s MMI Technology and Operations Committee, creating standardized communications in separate accounts business between back office, Fiserv, portfolio accounting, investment manager and custodial systems interested parties.
* Managed the offsite Disaster Recovery Testing Plan for the department.
INVESCO, Inc. Atlanta, Georgia
INVESCO Managed Accounts
Director of Operations
Responsible for the direction of all key operational services and strategic planning as related to INVESCO Managed Accounts including over brokerage/dealer relationships, thirdparty and Delivery Vs. Payment relationships, across investment mandates as well as Multiple Style Portfolios.
* Manage over people, both direct and indirect reports.
* Member of the Executive Management Committee directing strategy for the entire business unit, specifically responsible for Operations and Human Resources.
* Oversee the client suitability, compliance, account administration, reconciliation, trading, performance reporting, vendor relationships, technology and automation to enhance all processes for over , accounts totaling approximately $.B AUM across portfolio accounting/trading platforms.
Professional Experience Continued
* Manage the operations of over small to midsized institutional accounts maintained on Portia.
* Responsible for representing Operations for annual due diligence meetings, SEC Audit Compliance as well as complying with the CFA Institute&;s Investment Performance Standards Investment Performance Standards and Policies.
* Member of the MMI Technology and Operations Committee.
* Oversee the Business Contingency Plan for the business unit.
J.C. Bradford & CO. Nashville, Tennessee
InvesTeam Asset Management
Investment Limited Partner, Operations Manager
Responsible for operational functions on all feebased and wrap managed accounts including performance reporting, reconciliation, trading, fee billing, suitability and document management.
* Oversee the Account Administration, Trading and Performance Reporting Functions for , managed accounts across investment managers.
* Management over employees hiring, firing, training and development.
* Training of Bradford brokers/sales assistants/support staff on feebased business opportunities.
* Project management with CIS, including Straightthrough Processing, Automation, and Cost basis Uploads from Automatic Data Processing ADP.
Morgan Keegan & Company, Inc. Memphis, Tennessee
Investment Management Consulting Group
Responsible for assisting in all areas of the investment management process in institutional and high net worth clients.
* Assisted in the construction of investment policy statements based on a client&;s asset class selection, risk tolerance and performance requirements.
* Performed manager searches for institutional clients using the Mobius database.
* Responsible for over institutional and HNW client quarterly performance reporting, including market risk, blended benchmarks and manager peer universe comparisons.
* Responsible for assisting in onsite due diligence meetings with investment managers in the proprietary wrap subadvisory program.
* Responsible for assisting in Financial Advisor training programs.
Masters of Business Administration
University of Memphis Memphis, Tennessee
Bachelor of Business Administration
University of Alabama Tuscaloosa, Alabama
Technology Systems Experience
Security APL, GIM, Advent, Portia, Phase , ADP, GreenHill, Pertrac, Microsoft Office, Visio