Client Service Financial Services

Stephen Delfino 214-***-**** cell • *************@*****.*** • LinkedIn Profile

Senior Manager of Client Service Delivery & Support Services - Financial Sector

Enhancing Client Success, Operational Excellence and Strategic Transformation in Global Finance

Senior financial services professional with over 20 years of experience in custody and brokerage operations, client relationship management, and process optimization. A proven track record of successfully managing complex projects, implementing process improvements, and delivering exceptional client service for major global financial institutions. Expertise spans many areas, including operations management, risk management, regulatory compliance, and driving business transformations to improve efficiency, risk reduction, and client satisfaction.

Selected Achievements in Financial Services Management

Client Relationship Management: Skilled in enhancing client satisfaction and retention, evidenced by increasing Investment Manager Satisfaction rates from 65% to 86%, resulting in significant new business gains.

Project Management: Proven ability to manage critical financial services projects, including managing ChaseNet strategic project initiatives aimed at improving client satisfaction, reducing risk, and enhancing product offerings.

Regulatory Compliance and Risk Management: Demonstrated success in maintaining compliance and minimizing risk, with a track record of zero notable or significant issues cited in audits (SAS 70, Branch Office, and internal audits).

Operational Efficiency and Process Improvement: Expert in streamlining operations and enhancing productivity, as shown by increasing same-day processing rates from 82% to 97% through consolidating work queues and reducing redundant tasks.

Strategic Leadership and Team Management: Effective leadership in managing multi-site operations with over 40 staff members and processing over 920,000 transactions annually, illustrating strong organizational and directive capabilities.

Core Competencies in Business Operations and Strategic Management

Operations Management - Client Relationship Management - Risk Management - Money Movement Operations - Lean Implementation - Project Management - Global Trade Operations - Regulatory Compliance - Product Management - Workflow Redesign & Optimization - Quality Control - Diplomatic Change Agent for Productivity Improvements - Utilizes Benchmark and Best Practices Techniques - Conflict/Dispute Resolution - Instituting Cost Conservation Measures - Instituting Reward, Recognition & Retention Strategies - Formal Presentation Skills - Custody & Brokerage Operations - Creating a Client Service Management Vision - Customer Experience Enrichment - Achieving ROI Improvements - Implementing Business Process Transformations - Forming & Leveraging Strategic Alliances

Executive Career Progression

MPHASIS, Plano, TX 2023 to 2024

Client Migration Specialist (Consultant Position)

Delivered expert migration management support to convert an acquired retail bank to the JPMorgan Chase platform.

Cognizant, Dallas, TX 2023

Service Delivery Manager (Consultant Position)

Delivered expert project management support for successfully converting Custody processing to the Computershare platform from Wells Fargo.

Developed comprehensive operational procedures and job aids to support Custody processing on the SEI and JP Morgan Markets platform.

Conducted rigorous system testing and data validation to ensure seamless migration of Custody functions.

Remotely led a team of 23 Custody Analysts with exceptional leadership throughout the conversion process.

Provided superior support for workflow management, optimizing manual and automated Global trade and Foreign Exchange activity routing.

Truist Bank, Dallas, TX 2022 Senior Branch Relationship Banker

Expertly managed client requests for new business proposals, focusing on driving new loan activity while delivering exceptional support for diverse client service requests.

Consistently provided branch office clients unparalleled customer service, meticulously tailored to address and surpass their financial issues or concerns.

BNY Mellon, Dallas, TX 2020 – 2021

Client Service Manager

Delivered expert support for intricate phone, email, and other inquiries concerning Client Document Custody Services and Billing Procedures.

Conducted in-depth research and successfully resolved complex operational issues related to billing and reporting.

Identified trends in client issues and proactively proposed solutions by collaborating with internal partners in processing.

Actively participated in the development and provided unwavering support for achieving team objectives.

Magellan Group, Chicago, IL/Prosper, TX 2018 – 2019

Organization Change Management – Associate (Consultant Position)

Provided crucial support for the onboarding process of new business. Effectively communicated with client senior members to obtain required documentation.

Leveraged in-depth knowledge of regulatory requirements to ensure compliance and efficiency in the account opening process.

Meticulously monitored data and proactively communicated with management regarding any issues or backup requirements.

J.P. Morgan, Dallas, TX 2010 – 2018

Vice President/Client Billing Operations (2017-2018)

Provided strategic management and oversight to ensure accurate and timely setup and invoice production for clients and strategic growth initiatives.

Collaborated with Sales, Client Service, Finance, and Product/Pricing teams to establish and strengthen key relationships.

Spearheaded new business implementations and complex new clients onboard, focusing on risk minimization and simplification.

Vice President/Senior Business Operations Manager/Merchant Services (2015 – 2017)

Senior Operations Manager responsible for driving the successful delivery of critical project deliverables supporting the ChaseNet and ChasePay strategic platforms.

Provided exceptional project management for ChaseNet strategic initiatives, focusing on enhancing client satisfaction, reducing risk, improving product offerings, and increasing overall market presence.

Vice President/Trade & Corporate Action Management Client Service (2010-2015)

Senior Client Service and Operations Manager overseeing Domestic and International Trade Settlement Services and Corporate Action Middle Office functions for a diverse proprietary and fund advisor relationship base.

Demonstrated exceptional management of departmental risk and client satisfaction indicators, resulting in minimal risk exposure and significantly increased levels of client satisfaction.

Served as a Senior Project Manager for client automation and reporting initiatives, driving innovation and efficiency.

Successfully enhanced Inquiry Management Standards, consistently achieving 90% or greater response rates within the same day.

Fidelity Investments, Westlake, TX 2007 - 2010

Senior Director, Operations and Services Group

Senior Management of a Multi-site Operations Division responsible for overseeing Advisor and Retail Money Movement Processing and Support Services, including Retail Trading and Problem Resolution functions.

Successfully managed a team of over 40 staff members and 4 Senior Managers/Directors responsible for processing more than 920,000 transactions annually.

Established and implemented robust controls and metrics, increasing productivity from 82% to 97% by consolidating work queues and eliminating redundant work across key processing functions.

Enhanced Service Standards to consistently achieve 98% or greater processing rates within the same day. Implemented 2-hour SLAs for designated advisor transactions.

Served as the senior business contact for Fidelity-wide Lean and Advisor client initiatives. Implemented several key Lean Pilot programs designed to increase efficiencies, reduce risk, and improve client satisfaction.

Ensured strict adherence to all regulatory requirements and established key Compliance controls, resulting in zero notable or significant issues cited on SAS 70, Branch Office, and internal audits.

J.P. Morgan, New York, NY/ Dallas, TX 1998 - 2007

Vice President/Investment Manager Liaison – Advisory Services Group (2000 – 2007)

Senior Client Service/Operations Manager responsible for leading a team of 10 Senior and 30 mid-level relationship associates. Provided senior relationship coverage to a base of high-profile investment management/advisory firms with market values exceeding $500 Billion in Global assets under custody. Successfully managed all aspects of the transition of ASG Client Service from New York to Dallas.

Developed comprehensive relationship plans and coordinated overall service delivery with internal product, support, and operational units to meet and exceed complex investment manager Trading and Cash Management requirements.

Created and administered client service surveys, which measured Investment Manager Satisfaction. Increased overall satisfaction rates from 65% to 86%, resulting in significant new business wins.

Enhanced and improved overall service quality and client perception by establishing an aggressive regional-based calling program targeting 60% of a base of over 400 key strategic Investment Management relationships.

Collaborated with FX product and Custody sales teams to increase direct proprietary revenue while generating leads related to new business opportunities.

Managed new business opportunities, including requests for proposals and client presentations. Structured, implemented, and managed all aspects related to the client onboarding process.

Assistant Vice President, Client Service Manager (1998 – 2000)

Responsible for delivering Global and Domestic Custody Services for a base of proprietary Mutual Fund and Investment Management relationships.

Effectively managed client exposure for high-risk Emerging Market Trading and FX-related activity while ensuring optimal levels of service provided by various Domestic and Global Custody product support processing teams.

Education

Bernard M. Baruch, C.U.N.Y., Bachelor of Business Administration

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