Joseph Kluver

Experience

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  TD Ameritrade

  Feb 2006 - May 2018

  Provide liaison services between our Brokerage Operations business unit and other enterprise initiatives in technology, product and compliance areas. Responsible for the implementation of identified process improvement opportunities within the technology/operations organization and the subsequent transition to management. I am also responsible for owning the implementation of non-technology efforts (example: operational changes which may necessitate client communications & process changes) and monitor business benefits realized via the implementation of initiatives on an ongoing basis.Responsibilities:* Work with appropriate operations business to implement process/procedure changes, including Lean initiatives* Work with all areas of our operations as a liaison for large projects and other enterprise initiatives ensuring participation to avoid and mitigate risks that arise* Escalate issues to operations leadership so decisions are made in a timely manner for process/procedures changes and process improvement implementation efforts* Work with Operations to ensure changes are tested and signed off for project completion, appropriate operations process / technology user training is provided, and identify, track and drive resolution of process risks associated to implementation activities* Manage all process improvement resources and identifies/communicates technology changes affecting operations(retail, branches, brokerage ops)* Ensures leadership status reporting on all initiatives including metrics collection & reporting* Responsible for determining the best approach and resources to accomplish the implementation of operations process/procedure changes, including six sigma initiatives Show less Implement the practices and procedures recommended by the Project Management Institute via the Project Management Body of Knowledge to plan, measure, execute, and control strategic business initiatives as set forth by Executive Committee. Excelled as a subject matter expert for segmentation management and strategic planning. Developed, improved, and managed processes and procedures for an associate and client feedback model; streamlining administrative operations, improving associate involvement by 17% in 2009, and increasing project execution by 37% in 2009. Show less Participated in the molding of the Branch Resource Desk by working directly with our sales network to develop an efficient escalation process for Retail Sales. The process offered guidance for an Investment Consultant and allowed them to escalate complex client inquiries to a Senior Representative within the Resource Desk. To accomplish these business objectives, I spearheaded multiple projects during the TD Waterhouse clearing conversion, which includes but is not limited to the testing of TED (TD AMERITRADE’s Virtual Investment Consultant), education and rollout of the branch Multi-functional Device machines, peer training, which included the creation of educational classes for our new hires, and the creation of the Branch Resource Desk Quick Reference Guide. Worked closely with a variety of departments at TD AMERITRADE in order to understand various systems to ensure they were being efficiently aligned with the company's business objectives. In doing so, relationships within various facets of the organization have been solidified and the Branch Resource Desk was able work hand-in-hand with other departments to competently address escalated issues. Show less Incorporated various processing functions including multiple variations of account maintenance, upgrades, and cash management services. Responsible for analyzing and processing any client requests to existing TD AMERITRADE accounts. Analysis which includes: checking for completeness of the account paperwork to be in compliance with business & industry rules and regulations, verifying information for client security, reviewing minimum funding requirements for cash management programs or margin/option levels, corresponding with internal and external clients, verifying financial institution routing and account numbers, and calculation of interest for client escalated money market inquiries. Acquired my Series 7 & 63 license and met the outstanding levels of the client satisfaction index at a 91% in Quarter 4 of 2006. Assisted our Marketing and Compliance departments as well as specialty queues (Apex Web Navigation) in order to more fully assist TD AMERITRADE clients. Show less

  • Enterprise Program Manager II at TD Ameritrade

    Jun 2017 - May 2018

  • Operations Program Manager

    May 2011 - Jun 2017

  • Program Manager

    Jun 2008 - Jun 2011

  • Senior Broker

    Jan 2007 - Jun 2008

  • Customer Service Representative

    Feb 2006 - Jan 2007
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  Project Management Institute - Heartland Chapter

  Aug 2011 - Dec 2013

  VP of Programs

  Responsible for the development of PMI Heartland's long term event strategy; overseeing the planning, management, and continual improvement of the Chapter's Professional Development Day, Monthly Meetings/Luncheons, and Networking Events. Also responsible for the coordination and leadership of Program Directors; providing clear and common goals to drive the team towards delivering improved membership value.2012 Success Metrics:1) Increased attendance at PMI Heartland's flagship event by 38% compared to the previous year; achieving the highest attendance in PMI Heartland's 19 year history2) Increased overall event attendance by 13% from the previous year.3) Recipient of PMI Heartland's President's Award for 2012. Show less

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  TD Ameritrade, Inc.

  Jun 2017 - May 2021

  Enterprise Program Manger, Agile Transformation
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  Charles Schwab

  May 2018 - now

  Sr. Manager, Project Management