Experience

• 

  Vanguard

  Sept 2004 - now

  • Oversight of internal Vanguard crew to ensure compliance in accordance to Vanguards Code of Ethics policy• Informally led compliance crew locally and cross-site while being a positive change agent during times of departmental change (e.g. Transitioning to new MCO Compliance system and Phasing out non-exempt roles within the team)• Actively coached and educated internal crew and specialty business areas on the Code and its importance and impact to Vanguard• Conducted difficult conversations and delivered violations to crew at all levels who violated the code policy (e.g. Trading without proper pre-clearance as a Fund Access Crew, Purchasing restricted Stock as an Inst. Crew, and making short term profits as a VAI Crew)• Collaborated with Compliance Admins across all regions in Asia, Europe, Australia and North America regarding best practices and ensuring consistency in our monitoring and audit process Show less • Supervised cross-site team of Retail Resolution Services (RRS) Admins responsible for floor support and execution of daily responsibilities of high risk critical functions while assisting in projects and initiatives to move the business forward• Coached and developed exempt and non-exempt crewmembers to meet or exceed business standards in RRS and Adjustments Team• Conducted side-by-side and one-on-one coaching to crew in regards to handling client outbound and inbound calls but also on process efficiency• Safeguard the Client and Vanguard Team- Led weekly cross-site meetings to discuss department initiatives to ensure controls are in place to be in compliance with our regulators and mitigate risk to protect Vanguard and our clients• SR Performance Management Team- Led cross-site calibration meetings to ensure consistency and influenced leaders to hold crew accountable to perform at a high level pertaining to the department standards and metric goals• LEAN Management- Obtained knowledge and experience during transition of new LEAN methods in operations Show less • Supervised cross-site team of exempt Series 24 Licensed Compliance Admins responsible for reviewing Brokerage, Margin and Options applications.• Conducted coaching sessions with crew to help them improve in communicating to internal and external clients• Led RCAS Professional Development team cross-site to plan events to help crewmembers with their corporate presence• Cross-trained over 200 Series 24 Leaders, Managers and Principles to assist with Swiss Army to clear seven thousand item backlog within 5 months • Worked with BTO and LCARS to prioritize and fix numerous defects and update enhancements to our automated approval system on-line• Assisted business partners across all three sites to resolve elevated and time sensitive issues involving the operational process in RCAS (New Account, Transfers, Journals, etc.) Educated them on the “whys” behind the process• Created new Written Supervisory Procedures (WSP) to ensure controls are in place to mitigate risk in the account opening process• WSP Delegate to New Accounts, Margin, Auto 24 and Call Monitoring: Reviewed and audit work items on a monthly and quarterly basis to ensure compliance to FINRA, CIP and other regulatory bodies. • WSP RPR for Internal/External Faxes: Signed off on outgoing faxes and audit incoming faxes on a daily basis to comply with Vanguards communication policy and elevate any potential client complaints Show less

  • Sales Enablement Program Manager

    Jan 2022 - now

  • RSG Sales Manager

    Sept 2020 - Apr 2022

  • Senior Compliance Analyst

    Oct 2017 - Sept 2020

  • Service Recovery Operations Supervisor

    Aug 2015 - Oct 2017

  • Retail Client Account Services Operations Supervisor

    Jun 2013 - Aug 2015

  • Brokerage Operations Supervisor

    Aug 2010 - Jun 2013

  • Investor Services Group Supervisor

    Sept 2008 - Aug 2010

  • Brokerage Services Senior Admin

    May 2007 - Sept 2008

  • Brokerage Services High Net Worth Equity Trader

    Oct 2005 - May 2007

  • Core Communications / Small Business Services Associate

    Sept 2004 - Oct 2005