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Click here or scroll down to respond to this candidate1Candidate's Name
Experienced Leader in Financial Services, Trust, Custody, Retirement, Brokerage and Wealth with expertise spanning business, technology and operations Strategy/Programs/Projects/Migrations/Conversions/Divestitures Oakbrook Solutions, Inc., Winston-Salem, NC July 2007 Present Principal Financial Services - February 2022 June 2023 Strategic Program/Project Manager Post Migration Manager activities:o Served as the primary liaison between Principal Finance Group (PFG) and SEI Private Trust Company(SPTC) for daily matters including but not limited to issues, risks, escalations, funding and changes o Tracked Cash and Asset Reconciliation Items representing billions of dollars o Hosted strategy meetings to discuss options for gained efficiencies across the companies o Presented senior management and executive status reporting o Planned future forward options to bring trust processing in-house o Designed and managed RFI/RFP process for selection of new Trading Platform Wells Fargo Institution Retirement and Trust (WF IRT) - May 2009 February 2022 Strategic Program/Project Manager Successfully accomplished the following across the multiple projects and programs that follow: o Building out the Timeline Strategyo Constructing and Managing the Resource and Budget Plans o Conducting Gap Analysiso Developing the Implementation Plano Creating Testing Strategy, Test Plans, Timeline and Execution plans Managed Migration of WF Retirement Services Institutional Custody Business to Principal Financial Services, a DiNovo Trust Business Provided ongoing consult during the evaluation of the sale of WF IRT to Principal Financial Services including:o Trust System and Vendor Selectionso Migration Strategieso New Business Design Managed System Conversion from WFs Highly Customized In-house SEI Trust 3000 Platform to an Outsourced SPTC (SEI) Platform including:o Partnering with SEI to create and execute Split-merge migration plan o Partnering with PFG Vendor Management to review, modify and execute new contracts o Partnering with Legal to determine requirements to due business by state and create implementation planso Creating management reporting and serving as a member of the PFG and SPTC Steering Committees2o Creating, staffing and supporting the Migration Command Center Plan; including internal and external SWAT teams across all lines of businessManaged Retirement Services and Institutional Custody Migration from SEI Trust 3000 to SEIs SWP and Charles River (CRD) Trading Platform Teams Led Mapping and Configuration efforts Conducted Internal and External Systems Impact Analysis Managed Project Shelving and ShutdownManaged Several Internal Initiatives Post Wachovia and Wells Fargo Merger Considered as backfill for Wells Fargo Program Manager Project Management Lead Primary liaison between Wells Fargo and VMS, Inc. Led an effort to convert the current version of VMS to new hardware with a full core application release retrofitted to integrate existing Wells Fargo enhancements Oversaw the addition of New 2055 Target Date Maturity Funds and Plan Migrations Implemented Morningstars Core Funds program to Wystar Led the following Migrations, Conversions, Consolidations and Integrations o Migrated large Market Client to Northern Trusts Investment Platform with full integration to Wystar and VMS o DC Bundled Omni to Wystar Migrationo Migrated Wells Fargo Collective Funds Management to State Street Funds Management including de- conversion from SEI Trust 3000o Converted a Large Market book of SDA business from Schwab to Beta Brokerage platforms with full integration to SEI Trust 3000o Facilitated the US Bank to Wells Fargo Executive Benefits SEI Trust 3000 Conversion o Converted Wells Fargo IR&T Beta Brokerage Accounts to Wachovia Beta Brokerage Integrated Trust Platform o Omni to VMS Mutual Funds Processing Conversiono Omni to Wystar Participant Accounting Conversion o SunGard Series 11 to SEI Trust 3000 Retirement Services Trust Conversion o Wachovia and Wells Fargo Collective Funds Consolidation o Scorecard to InvestOne Performance Measurement Platforms o Managed multiple integration efforts to design and consolidate systems and business processes as a result of the Wachovia and Wells Fargo mergerAscensus Retirement Services, Strategic Program Manager - Dec 2008 May 2009 Lead an effort to establish Ascensus a Division of Crump Group Inc. as a brokerage branch of their sister company PJ Robb, Inc. to facilitate the payment of mutual fund fees directly to an individual broker Created and monitored the FINRA regulatory request and approval process Established supporting broker dealer agreements for each existing mutual fund company Established a go forward model for new accounts/funds/brokers Designed and implemented a customized fee module through VMS, Inc. to support revenue tracking 3Capital Markets Consulting Head/Managing Principal/Senior Strategic Program Manager Responsible for a consulting team of 75 supported by a sales/relationship management team of 10; exceeding revenue goals year over year Consistently received high performance ratings for achieving outstanding levels of operating efficiency and minimizing financial risk and personnel turnover; achieved annual Superior Level bonus awards for new sales and business retentionWachovia Bank, Charlotte, NC (aka First Union Bank) - Dec 1999 Oct 2008 Project Manager Managed AG Edwards Brokerage Trust Conversion within an aggressive six month time frame to assure cost efficiencies o Conversion included personal trust, high net worth, real estate/oil and gas, retirement services, charitable trust and new on-line broker access toolo Application included Metavante, SunGard Addvantage Trust and Beta o Phase two of the conversion will take place in 2/2009 and will result in a fully integrated Trust and Brokerage Platform Managed the testing and implementation of a third party vendor asset allocation/monitoring and compliance tracking product called NorthStar within Wachovia Wealth Management Provided strategic consulting services to evaluate and implement a new investment product within Wealth Management utilizing a third party vendor product by MSP/APL creating the new premier Advantage Product offered by Wachovia today Provided strategic consulting to prioritize and align system enhancements with the strategic vision of Wealth Management Managed multiple projects and teams to implement the following strategic initiatives simultaneously Converted existing VMS client server mutual fund processing system to a Web-based mutual fund processing application Automated the Fed Wire system to be an on-line real time connection Designed Weekly and Quarterly Management Status Reporting Tools Created a Merger and Acquisition Strategy complete with valuation tools Developed and implemented strategy to re-engineer the Wealth Real Estate Management Platform Managed an internal project to standardize and document policies and procedures throughout all of Trust Operations Successfully completed reengineering of the Wealth Management Issue Tracking System by upgrading the existing software to a web-based application and by implementing new performance standards and service level agreements for issue resolution Provided strategic consulting and project management for the Wachovia SunGard Series 11 system benchmarking initiativeo Utilized PerfCap and Loadrunner data capture tools to establish and monitor benchmarks Conversion Program Manager for the First Union and Wachovia Trust merger Responsible for all aspects of the First Union SunGard Series 11 and Wachovia SEI TA3000 Trust applications mergero Charged with strategic planning and team building, systems selection analysis, project management, execution and implementation of methodology to convert 24,000 accounts, 58,308 interested parties, and 13,451 security issues with minimal impact to the client 4 Managed both Operations and IT initiatives Managed nine separate initiatives including Core Systems, OffitBank, Portfolio On-line, Fees, Tax, Statements, RPS, TMI Real Estate and Charitable Conversion was completed on time and under budget within an extremely aggressive 6-month time frame Project Manager for the First Union Personal Trust Statement Redesign project; charged with providing a strategic solution to design, build, and implement a business and technical solution to redesign the current Personal Trust Client Statements, providing state of the art visual presentation, content and delivery options thus enhancing existing customer satisfaction and providing new marketing tools Project manager for TMI Redesign initiative.o Acted in the capacity of a business analyst to define and document current operating environment and prepare project initiation report to propose a new target environment Successfully co-managed the integration of FUSIs (Beta) Brokerage System with First Unions Personal Trust Processing System (Trustware Series 11) by designing, building, and implementing a business and technical solution which made available Personal Trust services combined with the widest variety of FUSI investment alternatives to the clients of Financial Advisors to facilitate revenue growth, asset retention, and improve customer service; The project was completed on time and under budget Prior Experience:Bank of America (aka NationsBank), Dallas, TX: Project Manager - Aug 1997 Dec 1999 Raymond James Trust Company, St. Petersburg, FL: Senior Vice President Operations - Mar 1993 Jul 1997 National Computer Systems (SunGard), Atlanta, GA: Consultant - Nov 1988 Mar 1993 Technical Skills:Systems: SEI Trust 3000, SPTC and SWP, Charles River, Addvantage Fees, Blackline, APEX, COWEN, Petro Data, SunGard(Series 7, Series 11, Global Plus, Omni Trust, Real Estate, Oil and Gas, Notes and Mortgages), AMTrust, VMS, QUAD, MSP/APL, Optinfo (n/k/a Jack Henry Profit Stars), Wystar, OmniPay, NorthStar, SIS, CSS and Beta Applications: Windows, Microsoft Office Suite, Microsoft Project, MS Teams, Microsoft Outlook, PowerPoint, Visio, Blue Works, Quality Center, Agile, WaterfallEducation and Training Development:Waynesburg College, Waynesburg, PA, Personnel Management, Accounting, various preparatory courses Pennsylvania State University, Continuing Education, Various Management Courses Pennsylvania Trust School, Bucknell University, Completed three-year curriculum Train the Trainer Certification, 1990Project Management Certification, 1998 |
