April 2007 — Present
* Manage Office of Supervisory Jurisdiction (OSJ), an office with a portfolio of over 12,000 client accounts and over $226 million in assets, and maintain compliance with FINRA/SEC regulations.
* Ensure highest level of customer satisfaction by identifying and understanding customers' financial and educational needs, building and maintaining strong working relationships and delivering quality customer service. Quarterly Customer satisfaction surveys with the client base, have consistently ranked within the 95th percentile under my leadership.
* Responsible for resolving escalated issues and client concerns.
* Manage at-risk client accounts by pursuing collections for account deficits and align overly concentrated accounts with house capital requirements.
* Asses risk of approximately 1500 new account requests annually and make approval recommendations to ensure accounts align to business risk strategy and are in compliance with the PATRIOT ACT.
* Manage the human resource development process by developing quarterly business development goals to achieve sales quotas. Plan and coordinate training programs for all branch associates and lead new hire training sessions. Conduct monthly one on one meetings to ensure behaviors are aligned with goals. Perform semi-annual reviews and adjust bonus compensation based on performance.