Operations Manager Associate
Resume:
Buddy Scott Nelson
Jacksonville, Fl. 32208
**********@*****.***
Objective
To secure a position with a company that will utilize my experience acquired from the financial services industry to deliver on their strategic initiatives.
Employment
Fidelity Brokerage Services LLC. Westlake, TX. Sep 2014 - Sep 2015
Brokerage Operations Manager
Responsible for executing a variety of day-to-day tasks to maximize operational team efficiency and to meet the business need of the client.
Collaborated with business partners across other lines of business on lean six projects in addition to continuous improvement initiatives.
Liaison for both internal and external clients to provide a needs-based solution delivery for third party transfers.
Effectively managed team by providing collaborative coaching and feedback session to produce high performing results and increase client loyalty.
Point of contact for escalations involving third party transfers
Ensured compliance reporting procedures were met regarding risk management based in severity and identified any systematic gaps where there was a potential exposure to control weakness.
Responsible for scheduling, payroll and attendance.
Responsible for monitoring associate calls and client correspondence for the purpose of assuring quality and assessing skills to increase client loyalty and satisfaction.
Responsible for quarterly performance appraisals and merit reviews to maximize the development of the associate's potential to achieve personal, professional and company goals.
Argentus Partners, LLC. Dallas, TX. Jan 2012 - Dec 2012
Vice President, Director of Operations
Responsible for the daily operations of the company.
Developed and facilitated key strategic and change management initiatives.
Established a project management web portal and protocol implementation to support the key strategic initiatives along with providing additional analysis to support critical decisions and senior leadership training.
Created standard operating procedures for end-to-end client life cycle processes and quality assurance programs.
Worked in collaboration with senior leaders to establish processes in order to maximize resource optimization through data analysis and internal and external communication.
Developed a reporting structure to support a 360-degree leadership communication to increase situational awareness at all levels of the organization.
Responsible for multiple projects involving collaborative needs-based analytics and solution delivery implementation of content management/processes and CRM product development.
Responsible for coordinating with outside vendors and the senior leadership team for process improvement of investment performance reporting and product development.
Responsible for the accuracy all monthly/quarterly statements and ad hoc performance reporting.
Established a continuous process improvement program to achieve the long-term goals and company objectives.
Responsible for maximizing operational efficiency and risk management programs to improve profitability/business continuity.
TDAMERITRADE, INC. Investor Services Fort Worth, TX. Feb 2006 - Sep 2011
Resource/Research and Resolution Team Manager
Managed a team of supervisors that supported service and sales associates with technical client service and trading questions / escalations.
Managed multiple strategic initiatives by working with other areas of the business and key leaders.
Facilitated presentations to managers and key leaders regarding strategic initiatives.
Responsible for scheduling, payroll, and attendance.
Ensured all desk top and compliance procedures were met.
Responsible for recruiting, hiring and Training Resource Desk Supervisors and for the TD Internship program.
Responsible for collaborative coaching and feedback for associates on general policies, procedures and cross sell opportunities.
Exercised independent decision making and effective problem solving when dealing with vital client escalations.
Responsible for quarterly performance appraisals and merit reviews to maximize each associate's potential.
Responsible for monitoring associate calls and client correspondence for the purpose of assuring quality and assessing skills.
Developed a team of research and resolution associates to support case management and Live Chat function to support service/sales associates and clients.
Managed the associate trading responsibilities.
Collected, tracked and analyzed individual/departmental performance data for the purpose of improving operational efficiency.
TDAMERITRADE, INC. Fort Worth, TX. Feb 2006 – Sept 2011
Amerivest Service Support Team Manager
Managed a team of advanced associates to support sales associates and clients with questions / escalations with long term portfolio guidance products.
Responsible for collaborative coaching and feedback to meet performance goals by identifying opportunities to acquire additional business through the lead referral program.
Facilitated presentation on product strategy and integration for the support team to business partners.
Responsible for hiring and training Amerivest Support associates to assist Investment Consultants identify solutions to meet the client’s investing needs.
Responsible for scheduling, payroll, attendance, compliance and desk top procedures.
Responsible for monitoring associate calls and client correspondence for the purpose of assuring quality and assessing skills.
Assessed the dynamic needs of the brokerage operation and provide input and recommendations for process improvement to policy and procedures.
Responsible for quarterly performance appraisals and merit reviews to maximize each associate's potential
TDAMERITRADE, INC. Fort Worth, TX. Feb 2006 – Sept 2011
Client Service / Trading Manager
Managed a team of new hire associates with a key focus on skill development to cultivate client experiences and exceed expectations.
Responsible for hiring and training associates to assist in the dissemination of information on an individual and team basis, gauging understanding and retention by team members.
Responsible for providing collaborative coaching and feedback sessions regarding associate performance, focusing on the client experience, and achievement of personal, professional and company goals.
Ensured all compliance procedures were met.
Responsible for quarterly performance appraisals and merit reviews to maximize associate's potential.
Responsible for monitoring associate calls and client correspondence for the purpose of assuring quality and assessing skills.
Responsible for being available to all members of a team and handle their requests on a priority basis while simultaneously completing other routine responsibilities. Responsible for handling client escalations using excellent analytical and problem-solving skills to retain/acquire additional business through our referral program.
Awards
Issued by TD Ameritrade, Inc.
Branch Lead Referral Manager of the Year - 2008
Presidents Club Award Winner – 2009 (2nd & 4th qtr.), 2010 (1st, 3rd & 4th qtr.) and 2011 (1st qtr.)
Circle of Champions Award Winner – 2009, 2010, 2011
LinkedIn Profile Link
linkedin.com/in/scott-nelson-86b865136
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