Heather Dunbar, FPQP – Experienced Operations Candidate (Hartville, OH)
Hard working, dedicated Operations professional with 20 years experience in the financial services industry who is eager to play a vital role in the growth and development of her employer.
• Tamarac CRM & Reporting, Junxure
• Charles Schwab, TD Ameritrade & Fidelity Platforms
• Worldox, Document Indexing & Organization
• Project Management & Data Conversions
• Supervision, Mentoring, Employee Goal Setting, Employee Reviews & Interviewing
• Process/Workflow Organization & Implementation
• Application Testing, Training & Technical Support
FROM 2019 – TO JUNE 2020 Director of Operations / DiNuzzo Wealth Management, Beaver, PA
• Designed, developed and tested workflows and dialogs as well as troubleshot user errors and monitored system performance. Worked to convert existing outdated paper-based processes into more time and cost-efficient CRM processes.
• Worked closely with Executive and Advisory Teams to coordinate with and supervise Operations Team ensuring processes were running at their most efficient between the front and back-stage of the firm. Enacted several process improvements to streamline, cut costs, and improve accuracy of back-office functions.
• Maintained relationships with custodians and software vendors to make sure firm is always within the industry’s best-practice models.
• Participated in firm’s Leadership Team which met to discuss the firm’s overall health, direction and goals. Responsible for representing the firm as a member of the Leadership team in communications with staff, vendors and custodians.
• Attended semi-annual career fair at local college to meet and greet future financial industry professionals. Conducted interviews with potential intern candidates from the career fair and provided feedback back to Career Center at college to assist the students with improving their interview skills.
• Provided integral support to Advisors as they transitioned to using a new behavior-based financial product. Attended client meetings with the Advisors to facilitate the software product and ensure the clients receive the best experience possible.
FROM 2014 – TO 2019 Sr. Portfolio Administrator / CAPTRUST, Uniontown, OH formerly Cornerstone Capital Advisors
• Lead, trained, and mentored a team of five professionals. Completed annual performance reports for direct reports, hosted weekly staff meetings as well as interviewed applicants for employee and intern positions.
• Acted as system administrator for CRM. Converted business processes into workflows to manage client meetings, scheduling, trading, money movement, client data changes, client billing and other essential events allowing the firm to be accurate, provide consistent service and grow at a rapid pace.
• Provided exceptional client service to the firm’s highest net worth clients for three partners; monitored accounts, opened accounts, transferred funds, placed trades, and completed many other service-related tasks.
• Worked closely with the managing partners to improve and perfect a client on-boarding process that was implemented for the entire firm. Personally specialized in on-boarding of clients with unique and/or complicated financial situations. Provided support to all advisors and staff to troubleshoot issues that arose during an onboarding of a new client or servicing of an existing client.
• Reconciled data from multiple electronic sources daily, followed up with software vendors, Advisory staff and/or clients when needed. • Processed quarter-end billing for over 480 clients and generated their related semi-annual reports. Solely responsible for generating, reviewing, submitting and collecting up to one million dollars in revenue per quarter.
• Completed conversion of billing process from previous platform to Tamarac based system. Additionally, implemented and managed billing via ACH for non-traditional clients and client projects allowing the firm to collect additional revenue from a previously unbillable line of business.
• Provided guidance to the Advisors and Executive staff on client contracts and billing setup to assure compliance guidelines were followed.
• Created multiple workflows and reports to assist the Chief Compliance Officer with compliance tasks.
• Served as a member of various ad-hoc teams to research and implement new software assuring the firm was always staying at pace with the changes in the industry.
• Participated as a member of a cross functional team whose function was to improve workflows and communication between all staff. • Processed and/or supervised daily and monthly trading of client accounts with monthly volumes in excess of fifty million dollars.
FROM 2001 – TO 2014 Sr. Client Services Associate / Woods Associates, Akron, OH
• Converted legacy asset tracking database to newest product version; audited and delivered quarterly client asset statements.
• Researched potential clients’ existing investments; prepared analysis and presentation for prospects.
• Placed mutual fund and stock trades, ordered office supplies, managed computer equipment, and acted as network administrator.
• Played a vital role in ad hoc projects and initiatives.
PROFESSIONAL AND PERSONAL REFERENCES AVAILABLE UPON REQUEST