Ryan D.

Experience

• 

  Vanguard

  Jan 2007 - now

  Provide leadership and direction for a staff of 10 direct and 180 indirect team members responsible for overseeing high-volume, multi-site asset transfer operations with over 300K asset transfers per year. Hold direct accountability for critical operational functions, including risk management, operational efficiency, regulatory reporting, technology enhancements and project management. Coordinate and lead teams of administrators and project managers through all daily tasks. Partner with internal compliance and control teams to ensure compliance with SEC/FINRA regulations. Lead the roll-out of LEAN methodology across the Transfer of Assets department to drive a 50% reduction of average inventory levels and improved cycle time across all workflows.Introduced a culture of development and progression, leading to 80% increase in employee engagement. Contributed to the implementation of multiple robotic processing automation tools, auto-processing 25K items within the past 6 months and reduced processing hours by 1,200 hours.Supported the implementation of #GoDigital initiative to remove manual client paths and encourage digital adoption; initiatives led to an 11% reduction of manual client contact and reduced average client online time for completing forms by 33%. Serves as the Registered Principle for Vanguards Retail Asset Transfer department, overseeing 15 Written Supervisory Procedures.Co-led an employee and leadership development program to support the progression of workforce of 2,500 employees. Created internal career fair for 30 departments, attracting 400+ attendees for each biannual session. Hosted 30+ leadership development workshops, securing guest speakers to support employee growth. Show less Managed a team of senior traders across multiple sites, providing ongoing coaching, mentoring and support to ensure optimal performance. Provided strategic leadership of internal auditing to ensure compliance with SEC/FINRA regulations and company expectations. Led numerous projects and technology initiatives, securing resources and SMEs to ensure the successful delivery of new programs and systems. Monitored and maintained quality control for all calls, identifying and resolving issues through coaching and mentoring of underperforming team members. Oversaw employee recruitment, selection and hiring for the department; increased candidate pool by 300%. Led a crew engagement initiative, matching crew skills to business opportunities, leading to a 50-point increase in Crew NPS (net promoter score) to 80+ and a 1 full point YOY gain in crew’s views score. Oversaw the department’s Series 57 licensing program, achieving a 100% pass rate from all employees. Introduced Bloomberg Chat to drive collaboration with 3rd party market center to support the coordination of high touch trades. Redesigned and maintained dashboard reporting automation to track KPIs (key performance indicators). Managed the roll-out of new process designed to shift outcalls to mass emails, driving a significant reduction of potential risk and cycle time by eliminating steps of the process. Implemented pilot program for web chat option for external retail clients, which improved client satisfaction. Show less Progressed through roles of increased responsibility, including Client Relationship Associate, Resource Planning & Scheduling Associate and Manager of Retail Service Multi Channel Contact Team. Provided supervision and leadership for staff of up to 22 responsible for interacting with customers via email, chat and phone inquiries. Coached and mentored team members to support their ongoing development and career progression. Served as the risk and control lead for the AZ Retail Services Management team, monitoring key metrics to mitigate risk and maintain quality control. Led the department’s dashboard analysis team, driving ongoing process improvement to enhance performance. Introduced new processes for improving workflow and communication across cross-functional teams. Oversaw the roll-out of Aspect to Flagship and Retail Services. Show less

  • Control and Oversight Manager/Registered Principal

    Jul 2021 - now

  • Registered Principle - Retail Transfer of Assets

    Jan 2016 - Jul 2021

  • Manager – Investor Trading Services Equity & Option Trade Desk

    Jan 2012 - Jan 2016

  • Manager – Retail Services Multi Channel Contact Team

    Jan 2007 - Jan 2012