Name

PROFESSIONAL EXPERIENCE

Sales

• Significantly improved financial results, tripling profit margin over three years:
  
  • Increased gross sales by 100% and reduced redemptions by 12%
  • Moved net sales from negative to positive, achieving highest net sales in firm’s history
  • Cut cost of sales by 10%
• Enhanced quality and productivity of wholesaling efforts:
  
  • Ranked #3 of 45 by DALBAR for outside wholesaling
  • Increased sales per visit by 25%
  • Increased average ticket size by 106%
  • Implemented new pay-for-performance compensation program
  • Implemented comprehensive training program focused on marketing to the affluent
  • Re-vamped inside wholesaling role from order-taker to active telemarketer
  • Pioneered virtual wholesaling model supported by new technology
• Re-vamped distributor home office marketing effort:
  
  • Rationalized focus firm list and forged key strategic partnerships
  • Increased funds per platform from an average of 1 to 4
  • Placed $1.1 billion in sub-advisory assets under management
  • Negotiated and managed all revenue sharing agreements

Operations

• Enhanced quality of service provided to shareholders:
  
  • Ranked #2 of 39 by DALBAR for overall service, #1 of 81 for statements
  • Obtained quarterly approval from fund Trustees on key service statistics
  • Proactively re-vamped and managed compliance processes
  • Implemented representative training program to enhance skills and reduce attrition by 40%
• Improved operational efficiencies:
  
  • Reduced overall cost by 24% and head count by 50% over three years
  • Increased transaction processing and correspondence throughput by 100%
  • Selected and implemented new CRM technology
  • Built new management reporting and analysis team
  • Implemented comprehensive disaster recovery plan

Operations

• Managed over 400 customer service representatives servicing telephone, internet, and written inquiries.
• Won DALBAR’s Triple Crown Quality Tested Award for 1997.
• Implemented new forecasting process to handle 6.9 million calls with average service level of 97%.
• Cross-trained representatives to provide a single point of service, increasing productivity by 10%.
• Re-engineered written correspondence process to decrease response time from 72 hours to 24 hours.

Inside Sales and Technical Product Support

• Managed team of inside sales representatives that increased sales by 26% over the previous year.
• Implemented asset retention program for at-risk customers.
• Presented new Roth IRA program to large strategic accounts.

Training and Development

• Re-designed new associate training program to cross-train and reduce turnover.
• Implemented successful peer training program.
• Developed in-house Series Six Exam training program that significantly increased pass rates.

Documentation

• Developed firm-wide intranet source book, speeding access and ensuring consistency of service information.
• Implemented all SOP’s for new business processes and systems.

• Re-engineered processes for customer service, claims, order management, forecasting, and warehousing – reduced operating expenses by 13%.
• Developed inside sales program that increased sales by 16%.
• Established new state-of-the-art $30 million warehouse facility.
• Pioneered EDI trading partnerships with national and regional accounts.
• Managed ongoing inventory turn, warehouse capacity, shipping budgets, and forecasts.
• Assisted in key marketing efforts, including new brand acquisition and product advertising.

PROFESSIONAL LICENSES

MEMBERSHIPS

EDUCATION