Contribute 20+ years experience in financial services/banking with expertise in call center management, sales, shareholder/client services, mutual fund operations, project/vendor management, Anti-Money Laundering rules/regulations, Alternative Investment Services and IT Audit Consulting. Strong track record of securing new accounts and developing and maintaining positive business relationships with vendors and clients.
Sep 2011 - Present
Senior IT Audit Consultant - Risk & Regulatory Compliance
ICS Risk Advisors
- Successfully audited annual regulatory requirements for RBS Citizen's Bank internal and external third party vendors in order to comply with the provisions and regulations set forth by the Gramm-Leach-Bliley Act of 1999.
Jan 2008 - Mar 2010
Senior Project Manager - Client Services
Broadridge Financial Solutions, Inc.
- Responsible for the development and execution of communication strategies across mail, web and phone channels to deliver maximum shareholder participation in proxy efforts.
- Work closely with Client Service Operational Project Managers to ensure success of overall project execution, including the integrated channel strategy.
- Direct management of proxy projects with key Clients, including guiding Clients through product and process.
- Maintain and develop strong relationships with senior contacts, including directing client visits, user group meetings, conferences and other industry functions.
- Develop cost estimate for solicitation strategy and monitors budget to ensure successful financial management.
- Works collaboratively with technology and production teams at multiple sites in execution of Client projects.
Jul 2006 - Jan 2008
Account Manager - Shareholder Services
Citi/Bisys Hedge Fund Services, Inc.
- Successfully managed a team of 6-8 Hedge Fund Administrators in order to ensure accurate, courteous, and efficient services and standards are provided to the Alternative Investment community.
- Managed and maintained client relationships to ensure overall satisfaction.
- Reviewed the subscription/withdrawal, confirmation/statement, filing/registration workflows to ensure accuracy and validity.
- Coordinated the new fund, new issue certification, IRS Schedule K-1, ERISA and cash flow processes.
- Provided ongoing development, training, career coaching, and mentoring techniques to the fundadministrators in order to deliver superior shareholder services.
- Keep abreast of Alternative Investment industry practices as well as ensured compliance with anti-money laundering regulations and the USA Patriot Act of 2001.
Apr 2000 - Jul 2006
Anti-Money Laundering Specialist/Investor Services Manager
Boston Financial Data Services / IXIS Services Company
Operations Anti-Money Laundering Specialist/Project Manager(2002-2006)
- Provided ongoing Anti-Money Laundering training to the Investor Service Representatives and other departments in order to comply with the U.S.A Patriot Act of 2001.
- Successfully reviewed and conducted Anti-Money Laundering investigations to ensure monthly departmental reports were completed and distributed to the ISC Compliance officer.
- Administered and monitored BFDS’s Customer Identification Program (“CIP”), FINCEN, OFAC, Suspicious Activity Report (“SAR”), IRS Form 8300 and X17 report filings.
- Reviewed daily or monthly reports from various systems (Monarch, Infomaker, RPMS) for all IXIS Services Company (“ISC”) clients in order to identify and solve issues related to the rules and regulations set forth by the U.S.A. Patriot Act of 2001.
- Escalated daily issues to the ISC Compliance officer, Compliance Analyst and Investor Services Senior Vice President.
- Tracked daily, monthly, and quarterly accounts into an Excel spreadsheet for daily and monthly reporting by ISC’ clients (IXIS Advisor, Oakmark and Loomis Sayles Funds).
- Keep abreast of industry practices, and a thorough knowledge of the U.S.A. Patriot Act, Customer Identification Program (“CIP”) and ISC clients.
- Provided monthly audit reports to the Compliance Analyst to be used to identify potentially suspicious trends and activities.
Investor Services Manager(2000-2002)
- Managed a team of 12-15 NASD registered Mutual Fund Telephone Specialists in orderto ensure accurate, courteous, and efficient services and standards are provided to the investor/broker dealer community.
- Worked with Senior Management in order to implement quality services initiatives and programs which retain existing assets and attract new assets for CDC Nvest and theOakmark Family of Funds.
- Provided ongoing training, career coaching, and mentoring techniques to the InvestorRepresentatives in order to deliver superior customer services and strengthen skills.
- Forecasted telephone volumes to ensure proper staffing and departmental goals are met.
- Employed process improvement techniques which helped reduce customer cycle time, satisfaction and overall service delivery.
Dec 1996 - Apr 2000
Senior Investor Sales Specialist
PFPC Global Fund Services
- Supported senior unit manager in interviewing, training, and developing shareholder service team for Galaxy Mutual Funds.
- Supervised, trained, and developed team of inbound/outbound call center representatives.
- Monitored daily call center activities to ensure quality standards.
- Evaluated and standardized procedures to improve quality and efficiency.
- Provided ongoing coaching and feedback to support individual and team performance.