smoother roads ahead
Navigate the known roads more efficiently & empower your teams to tackle the unknowns that complicate your business roadmap.
On the Road so Far (Experience)...
Associate Officer and ABIS Project Management Analyst
Alliance Bernstein – San Antonio, TX
2020 – present
Enhanced Operational Efficiency:
- Streamlined 12b-1 Payment Processing (AB) by documenting workflows, redesigning and documenting databases (PowerSelect & MS Access) to improve security and reduce errors. Developed training materials and facilitated a smooth transition, resulting in significant automation that reduced processing time by 50%.
- Led a successful data cleansing project that significantly reduced outbound NSCC Networking errors within SS&C Systems. This initiative dramatically decreased the workload for impacted teams, eliminating the need for daily reviews of previously voluminous reports (e.g., reports exceeding 1,000 pages).
- Collaborated with internal teams to automate or eliminate over ten processes in 2024 so far, fostering increased efficiency, faster processing times, improved error prevention, and streamlined workflows.
Key Improvements:
- Increased efficiency (reduced processing times)
- Improved automation
- Streamlined workflows
Associate Officer and Business Systems Operations Analyst for Transfer Agency Systems Knowledge Team
Alliance Bernstein – San Antonio, TX
2018 – 2020
Technical Expertise and Business Process Improvement
- Designed and managed PowerSelect databases for various internal AB groups.
- Analyzed data to support internal decision-making.
- Implemented process improvements and documented procedures for efficiency.
- Managed fund setup, system updates, and DTN Admin user access requests.
- Provided user training and explained TA Systems and SS&C products to internal teams (PowerSelect, TA2000 Desktop, etc.).
- Served as internal subject matter expert (SME) for DTCC/NSCC on the ABIS team.
- Monitored SS&C product enhancements, communicated impacts to stakeholders, and facilitated internal discussions.
Key Skills:
- PowerSelect database design and management
- Data analysis
- Process improvement
- System administration
- User training and support
- DTCC/NSCC knowledge
Associate Officer and Team Leader for NSCC Operations
Alliance Bernstein – San Antonio, TX
2014 - 2018
NSCC Operations Team Lead
- Led NSCC Operations Team, fostering a culture of continuous improvement.
- Conducted performance analyses, monitored team activity, and generated reports to optimize workflows.
- Implemented process improvement initiatives to enhance efficiency and mitigate risks.
- Coached and developed team members, fostering their growth and skill development.
- Facilitated regular team meetings and conducted one-on-one sessions to ensure clear communication and alignment.
- Documented new procedures and reviewed existing ones for clarity and effectiveness.
- Empowered team members in process documentation, improving overall knowledge retention.
Key Skills:
- Team leadership
- Performance management
- Process improvement
- Coaching and development
- Communication and collaboration
- Procedural writing and review
Operations Manager
US Global Investors – San Antonio, TX
2012 - 2013
Operations Management
- Team Leadership and Process Improvement: Managed Dealer Services, Shareholder Processing, and Shareholder Accounting departments while also assisting the Investor Services phone group. Increased team efficiency and accuracy through workflow optimization, staff development, and time-management tools. Received 2 awards for outstanding management.
- Transfer Agency Expertise: Handled DST system administration tasks (fund/dealer/account setup, security access), ensured regulatory compliance (AML/CIP/FinCEN), and validated transfer agency invoices. Subject matter expert (SME) for DTCC/NSCC.
- Project Management: Successfully transitioned transfer agency operations to an outsourced provider.
- Employee Development: Conducted workshops on resume writing, stress management, and using LinkedIn to support employees during a transition period.
Key Skills:
- Team leadership and motivation
- Process improvement and optimization
- Transfer agency administration (DST)
- Regulatory compliance (AML/CIP/FinCEN)
- Project management
- Employee development and training
NSCC/ Dealer Services Manager
US Global Investors – San Antonio, TX
2007 - 2012
Streamlined Operations and Regulatory Compliance
- Documented 45+ Departmental Policies: Authored comprehensive policies, processes, and procedures for various departments, ensuring operational efficiency and clarity.
- Enhanced Team Performance: Managed Dealer Services, Shareholder Processing, and Shareholder Accounting departments, fostering a productive and cohesive work environment. Implemented performance improvement strategies (hiring, training, terminations) to optimize team effectiveness.
- Championed Regulatory Compliance: Collaborated with upper management to establish formal policies for key areas like short-term trading, omnibus accounts, foreign accounts, and identity verification.
- 22c-2 Implementation Expert: Designed and implemented all policies and procedures related to the adoption of Rule 22c-2 for the transfer agency function.
Key Skills:
- Policy development and implementation
- Team leadership and performance improvement
- Regulatory compliance expertise (AML/CIP/FinCEN)
- Project management
Institutional Services Representative
U.S. Global Investors – San Antonio, TX
2004 - 2007
Relationship Management and Business Development
- Built and Maintained Strategic Partnerships: Cultivated strong relationships with prominent dealers, trust companies, and TPAs, fostering long-term collaboration. (Honored with 9 awards for teamwork and individual contributions)
- Established New Business Opportunities: Built and launched U.S. Global Investors' Institutional Operations/Dealer Services Department, securing over 200 new firm partnerships through a smooth onboarding process (Series 6 & 63 licensed).
- Comprehensive Client Support: Served as the primary point of contact for all back-office relationships, leveraging sales support, operations, and contract expertise.
- Data-Driven Sales Strategy: Performed sales reporting and analysis to inform strategic decision-making.
- Communication and Content Creation: Gained experience in business and technical writing, creating notifications for the Litman Gregory research website and assisting the Marketing Department.
- Industry Engagement: Actively participated in bi-monthly trade shows, demonstrating industry knowledge and building brand awareness.
Key Skills:
- Relationship building and client management
- Business development and new client acquisition (Series 6 & 63 licensed)
- Sales support and operations expertise
- Data analysis and reporting
- Business and technical writing
- Industry engagement
Investor Services Representative
U.S. Global Investors – San Antonio, TX
2003 - 2004
Series 6 & 63 Licensed Investment Representative
- Provided investment education and guidance to clients on suitable product options within regulatory compliance (Series 6 & 63 licenses).
- Responded to client inquiries through phone calls, ensuring clear communication and addressing investment needs.
Key Skills:
- Investment product knowledge (mutual funds)
- Client communication and education
- Regulatory compliance (Series 6 & 63)
Investor Representative
Janus – Austin, TX
2000 – 2002 (18 months)
Series 6 & 63 Licensed Investment Representative
- Provided investment education and guidance to clients on suitable product options (Series 6 & 63 licensed).
- Responded to client inquiries through phone calls, ensuring clear communication and addressing investment needs.