Wealth Management Operations Manager

REGINA PASCUAL

Irvine, CA ***** 949-***-**** ***********@*****.*** WWW: http://linkedin.com/in/reginavpascual Executive Profile

Seasoned Operations Manager with over 20 years of expertise in Wealth Management for Investments, Risk & Compliance possessing a comprehensive knowledge of wealth management practices and an operational strategic mindset. Strictly results-oriented and deadline-driven leader with extensive experience in both large and small teams. Adaptable and forward-thinking, able to anticipate and seize opportunities in the rapidly changing financial services landscape. A valuable partner in your wealth management journey. Skill Highlights

• Business Operations, Client Service Organization • Transactions Compliance Monitoring

• Fund and Account Performance Monitoring • Budgeting and Forecasting

• Policy and Procedure Development Proficient in Bloomberg, FIS, SWP Core, Appian, TrustDesk, Appian, Microsoft Office

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Core Accomplishments

Established the Compliance review program and led controls & monitoring team tasked in providing direct testing across the combined Trust & Investments managed book of business.

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Achieved 100% employee retention rate for 36 months despite pandemic conditions and overall bank employee turnover in early 2022

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• Reduced out of balance asset allocation exceptions across 2000+ managed accounts by 65% in the last 5 years. Oversaw successful implementation of Bank's wealth management fee schedule increase, rollout and client communication across the bank footprint. Project was completed 30 days ahead of schedule (avoided any delays due to the the pandemic WFH mandate).

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Led annual regulatory and corporate compliance examinations for the Trust & Investments department for the past 13 years resulting with Satisfactory ratings.

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Professional Experience

Investments Business Management 09/2023 - 10/2024

BMO Bank – Newport Beach, CA

• Provided leadership across all phases of the investment/operational workstream conversion execution

• Facilitated demos and reviews with stakeholders thru bank conversion process

• Assigned as an investments/compliance and operational subject matter expert during the conversion process

• Established the Investment Policy Statement review and re-papering project of 2000+ legacy accounts VP, Administration & Operations 05/2017 - 09/2023

Bank of the West – Newport Beach, CA

Client Services: Worked closely with 12 investment vendors, 34 brokers along with fellow team members, to onboard new client relationships

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Operations Team Management: Led team of 7 senior cross-functionally trained analysts (Risk, Operations, Financial/Regulatory Reporting, Investments, and Technology) that provided support across 19 state footprint/multiple time zones.

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Compliance: Department oversight provided to remain within the SEC, FINRA, OCC, FDIC requirements. Liaison between internal and external stakeholders including investment managers, financial institutions,

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regulators, legal/compliance to manage the daily operations of the department Workflow/Systems Optimization: Developed and implemented business strategies with Investment Strategy Management Team to achieve business goals and stay competitive.

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Organization/Planning/Budgeting: Oversaw day-to-day financials, including business forecasting, sales incentive Dedicated Administrator for Sales Incentive Plan for all client facing sales officers. Performed role for 52 consecutive quarters.

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Technology: Interfaced with our IT resources to manage bank's technology and software needs to maximize the ongoing and future of the investment related systems

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Vice President, Investments Operations Manager 03/2014 - 05/2017 Bank of the West – Newport Beach, CA

Member of the Executive Team tasked in reviewing, identifying and prioritizing investment strategic and integration initiatives

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• Led team of 3 investment focused operations analysts Increased profit by streamlining investment team's operations thru adoption of BOTS, Appian, Power BI, and new CRM tool

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Negotiated contracts for various investment tools (i.e. Bloomberg, Factset, and other third party providers (TPP)) to obtain best pricing and terms

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Asst. Vice Pres, Investments Compliance Officer 09/2010 - 03/2014 Bank of the West – Newport Beach, CA

• Established Wealth Management investment compliance monitoring program

• Monitored and assessed compliance risks associated with operational processes and procedures.

• Managed practical action plans to respond to audit discoveries and compliance violations.

• Identified, investigated and documented compliance violations and recommended corrective measures.

• Prepared and submitted regulatory filings in timely manner YoY. Events & Marketing Coordinator 04/2006 - 12/2008

ROTH Capital Partners – Newport Beach, CA

Corporate Trust Escrow Officer 04/2004 - 04/2006

Wells Fargo – Los Angeles, CA

Education

Bachelor of Arts: Business And Managerial Economics University of California, Irvine - Irvine, CA

Certifications

Designation

Certifications

• Accredited Fiduciary Investment Manager (AFIM), Cannon Financial Institute

• Certified Fiduciary & Investment Risk Specialist (CFIRS), Cannon Financial Institute

• Certified Trust Operations Professional (CTOP), Cannon Financial Institute

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