Senior Retirement Plan Advisor

• May 2022 - Present

Advises retirement plan sponsors on matters of fiduciary responsibility, investment selection, plan design, employee education, and service provider selection. Advises retirement plan sponsors on matters of fiduciary responsibility, investment selection, plan design, employee education, and service provider selection.

AVP, Senior Employee Education Consultant

• Aug 2021 - May 2022

AVP, Associate Retirement Plan Advisor

• May 2020 - Aug 2021

AVP, Investment Performance Analyst, Sr.

• Apr 2018 - May 2020

Investment Operations Specialist

• Oct 2016 - Apr 2018

• Maximizes efficiency in back office RIA processes• Executes projects for financial planning, tax preparation, compliance, and investment analysis purposes• Consolidates data from multiple custodians into Tamarac Advisor View portfolio reporting interface• Researches reporting errors such as statistical discrepancies and cash flow miscalculations• Reviews trades• Writes written supervisory procedures• Planned and implemented firm transition from broker-dealer to RIA only business model

Onboarding Consultant

• Oct 2015 - Oct 2016

• Manages relationships between recently-recruited independent advisors and Kestra Financial broker-dealer/RIA• Directs firm integration process immediately following point of sale• Coordinates independent advisors’ licensing and registration, technology setup, advertising compliance, business migration, producer compensation, and training• Answers and anticipates independent advisors’ questions and concerns about all aspects of conducting business with Kestra Financial• Releases advisors into Kestra Financial’s open-architecture broker-dealer/RIA once they have become comfortable with normal business processing

Specialist, Advisory Support

• Sep 2014 - Oct 2015

• Worked with registered financial advisors to establish and maintain fee-based investment portfolios• Guided advisors and advisors’ assistants through use of the Envestnet portfolio management platform to maximize operational efficiency• Answered approximately 10-20 phone calls per day regarding various technology, trading, and brokerage questions• Developed positive working relationships with Kestra Financial advisors and their staff• Contributed to firm-wide due-diligence, compliance, and onboarding projects• Earned FINRA Series 7 license• Trained new team members

Compliance Analyst

• Mar 2014 - Sep 2014

• Researched compliance violations for mutual fund clients• Analyzed client-specific statistical rules to monitor trading activity• Requested omnibus account information from financial intermediaries• Recommended account restrictions based on violations• Scheduled meetings and conference calls with clients to provide regular service summaries • Researched compliance violations for mutual fund clients• Analyzed client-specific statistical rules to monitor trading activity• Requested omnibus account information from financial intermediaries• Recommended account restrictions based on violations• Scheduled meetings and conference calls with clients to provide regular service summaries

Specialist/ Senior Specialist, Global Corporate Events

• May 2012 - Mar 2014

• Distributed corporate action entitlements from issuing companies to client accounts• Balanced BNY Mellon custody against the Depository Trust and Clearing Company and NSCC• Contacted counterparty brokers to ensure settlement of trades• Researched and cleared securities and cash variances caused by corporate actions • Created and distributed reconciliation reports to various teams and management within the department • Provided custody status updates to both clients and internal groups• Trained all new team members