smoother roads ahead
Navigate the known roads more efficiently & empower your teams to tackle the unknowns that complicate your business roadmap.
Email: alizon@alizonkiel.com
About Alizon Kiel
Shifting Gears
My Dream 'Pit Crew'
Charting My Course
With over 20 years of experience in the finance industry, I specialize in end-to-end process analysis, process development, training, and procedure writing. I excel in leveraging my expertise in process optimization and intuitive strategies to drive efficiency and effectiveness. These skills are transferable across multiple industries, and I am eager to bring them to new challenges.
Charting My Course
My Dream 'Pit Crew'
Charting My Course
I believe in taking a data-focused, customized approach to each process I encounter. I fully learn each process and commit to alleviating the team's pain points while always keeping the business focus and vision top of mind. I strive to produce consistent and reliable work so that business leaders feel secure and confident, fostering a st
I believe in taking a data-focused, customized approach to each process I encounter. I fully learn each process and commit to alleviating the team's pain points while always keeping the business focus and vision top of mind. I strive to produce consistent and reliable work so that business leaders feel secure and confident, fostering a stable and sustainable environment with a focus on innovation that also energizes and propels business operations into the future.
My Dream 'Pit Crew'
My Dream 'Pit Crew'
My Dream 'Pit Crew'
I seek to co-create a team that is fully committed to compassionate, efficient solutions that streamline existing processes, retain knowledgeable employees, and make the business a great place to thrive. We will all be 'masters of the pivot,' ready to adapt to business needs as they arise, with a plan and structure that keep the knowns kn
I seek to co-create a team that is fully committed to compassionate, efficient solutions that streamline existing processes, retain knowledgeable employees, and make the business a great place to thrive. We will all be 'masters of the pivot,' ready to adapt to business needs as they arise, with a plan and structure that keep the knowns known and make the unknowns a chance for our team to shine. Let me help drive success by helping you steer an incredible team.
On the Road so Far (Experience)...
Associate Officer and ABIS Project Management Analyst
Alliance Bernstein, San Antonio, TX
Jan 2020 – Jun 2024
- Received 'Above and Beyond' accolade for excellence leading CIT/CRS initiatives as the project manager for ABIS.
- Directed over 10 process improvement projects between January and June of 2024 at AllianceBernstein, resulting in significant reduction in manual task staff requirements. This allowed team members to focus on tasks requiring higher levels of human thinking and discernment, while automating previously manual, high-risk processes.
- Collaborated with technical teams to enhance database design and interdepartmental processes.
- Designed and led training sessions for teams on fund setup, NSCC processes, and the effective use of newly designed tools. Created training materials that remain in use today.
- Served as technical lead on NSCC-related projects, including the DTCC's conversion to T+1 settlement in 2024. Received positive feedback regarding successful completion of this project.
Associate Officer and Business Systems Operations Analyst for Transfer Agency Systems Knowledge Team
Alliance Bernstein, San Antonio, TX
Sep 2017 – Jan 2020
- Served as a liaison between ABIS and DST/SS&C, resolving system issues and updates.
- Developed databases and processes for data collection and analysis using SQL and VBA.
- Led corporate actions related to material fund changes.
- Selected as the NSCC Subject Matter Expert (SME) for the Transfer Agency Knowledge (TASK) Team
- Worked to document 82 previously undocumented or under-documented processes.
- Conducted training sessions for the TASK team and the Partner Distribution Services on NSCC processes.
Associate Officer and NSCC Operations Analyst
Alliance Bernstein, San Antonio, TX
Sep 2016 – Sep 2017
- Handled day-to-day NSCC troubleshooting as the Senior NSCC SME for the Partner Distribution Services department.
- Tested NSCC and DST System enhancements.
- Created Access databases and reports for departmental needs, including contingency planning and metrics reporting.
- Developed 20+ procedures and provided NSCC training across departments.
Associate Officer and Team Leader for NSCC Operations
Alliance Bernstein, San Antonio, TX
April 2014 – Sep 2016
- Managed daily operations of the NSCC Operations Team.
- Conducted performance analysis, reporting, and process improvement initiatives.
- Authored procedures for new and existing processes and maintained departmental databases.
- Led training sessions on NSCC/DTCC processes and associated systems.
Operations Manager
US Global Investors, San Antonio, TX
Sep 2012 – Dec 2013
- Oversaw Dealer Services, Shareholder Processing, and Shareholder Accounting departments, and supported management of the Investor Services phone group.
- Created workforce management tools to pivot cross-functional representatives from one role to another multiple times a day, ensuring we consistently met the needs of the transfer agency and enhanced operational flexibility and efficiency with limited staff.
- Received 2 awards for management achievements.
- Ensured AML, CIP, and FinCEN compliance, including SARs filing.
- Implemented red flag training programs and managed DST settings updates.
- Led TA Procedures Project and collaborated on transfer agency conversion and outsourcing projects.
- Designed and facilitated workshops on resume writing, stress management, and LinkedIn for transitioning employees.
NSCC/ Dealer Services Manager
US Global Investors, San Antonio, TX
Aug 2007 – Sep 2012
- Authored over 45 previously undocumented department processes and procedures for US Global Investors to facilitate the ongoing transition from direct business to automation via the NSCC.
- Managed multiple departments, provided staff counseling, and implemented cost reduction initiatives.
- Developed policies for trading best practices and compliance.
- Prepared for internal audits, managed non-fiduciary state tax reporting, and IRS inquiries.
- Acted as a liaison between USGI's legal counsel and external dealer partners regarding sales and service agreements.
Institutional Services Representative
US Global Investors, San Antonio, TX
2004 – Aug 2007
- Formulated foundational policies, processes, and procedures for NSCC operations at United Shareholder Services, the former transfer agency of US Global Investors. Received an SEC no-comment letter for these efforts.
- Led NSCC-related regulatory implementation projects, including the implementation of SEC regulation 22c2.
- Assisted in securing over 200 firm relationships during an extraordinary period of growth and transition from direct accounts to omnibus relationships and utilizing the NSCC for trading.
- Gleaned additional skills in technical writing posting for Litman Gregory on USGI's behalf; as well as, writing for USGI's blog, 'Frank Talk'.
- Represented US Global Investors at trade shows, providing face-to-face education on USGI's products and services.
Investor Services Representative
US Global Investors, San Antonio, TX
Jul 2003 – 2004
- Series 6 and 63 licensed.
- Provided mutual fund education and investor guidance.