Nancy Williamson Resume 2016

NNANCYANCY W W ILLIAMSONILLIAMSON 2100 Golden Arrow Drive, Flower Mound, TX 75028 302.528.0918 [email protected]

DD IRECTORIRECTOR OFOF O OPERATIONSPERATIONS | O | OFFICEFFICE M MANAGERANAGER

Office Management and Leadership | Strategic Planning and Implementation | Personnel Management |Training and Development | Time Management and Prioritization | Excellent Communications

EEXECUTIVEXECUTIVE P PROFILEROFILE

Extremely dedicated and detail-oriented professional, offering significant experience in operations management. Dedicated to managing all assigned tasks and projects from conceptualization to completion. Skilled at providing significant contributions to the achievement of organizational goals with integrity. Expert at adapting in fast-paced, quickly changing environments; utilizing well-honed analytical skills in making strategic decisions and providing sound solutions to problems and conflicts. Handles confidential information with a high level of discretion and integrity.

PPROFESSIONALROFESSIONAL E EXPERIENCEXPERIENCE

FLUENT F INANCIAL , DALLAS , TX Director of Operations Jul 2014-PresentOversees all aspects of operations management and work flow delegation for five direct reports. Developed and monitors business forecasting metrics and manages P&L reports. Developed tracking metrics for new business and monitors business processing for quality assurance. Completes projects and special assignments by establishing objectives, determining priorities, managing time, gaining cooperation of others, monitoring progress, problem-solving, and making adjustments to plans. Responsible for staff recruiting and hiring, orientation, and training. Maintains management guidelines by preparing and implementing human resource policies and procedures as well as updating job descriptions and requirements for all positions. Ensures planning, monitoring, and appraisal of staff work results by providing coaching and problem solving, appraising job results though employee reviews, and creating and monitoring performance improvement plans as needed. Responsible for companywide compliance audits and oversees all regulatory requirements including marketing regulatory review and licensing.Career Accomplishments:

Played an integral role in developing the revenue tracking reports including detailed goal setting for firm.

Successfully implemented Everplan, Riskalyze, and RedTail programs which both increased productivity and provided new services to entire client base.

Developed and implemented quarterly employee performance goals which provided clear and transparent goals to each employee on individual areas of improvement.

Successfully completed with excellent results two compliance audits by LPL Financial by ensuring the proper completion of all documentation as well as by maintaining compliance with all LPL/FINRA rules and regulations.

COVENANT WEALTH STRATEGIES , W ILMINGTON , DE Director of Operations Oct 2008–Jun 2014Oversaw all aspects of office coordination and work flow delegation for six direct reports, serving as liaison between staff and CEO. Completed projects and special assignments by establishing objectives, determining priorities, managing time, gaining cooperation of others, monitoring progress, problem-solving, and making adjustments to plans. Maintained management guidelines by preparing, updating, and recommending human resource policies and procedures as well as updating job descriptions and requirements for all positions. Ensured planning, monitoring, and appraisal of staff work results by providing coaching and discipline for staff, hearing and resolving staff grievances, counseling staff, appraising job results though employee reviews, and creating and monitoring performance improvement plans as needed. Developed and coordinated annual and semi-annual staff training sessions, workshops and activities. Assisted CEO in maintaining human resource staff by recruiting, selecting, orienting, and training employees. Assisted CEO with company planning strategies. Responsible for companywide compliance audits and oversees all regulatory requirements including marketing regulatory review and licensing.

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Career Accomplishments: Played an integral role in developing the first CWS Employee Handbook which continues to be used

for all staff Led the successful employment of annual and semi-annual employee review procedure, which

brought major improvement in aiding employees in meeting their annual goals Expertly developed and implemented annual CWS off-site staff retreat; successfully completed

three staff retreats, resulting in a unified team vision for the future of CWS Developed and implemented CWS Team Performance Improvement Plans for each staff member

which enhanced the office communication, morale, and team cohesiveness Successfully completed with excellent results five compliance audits by LPL Financial by ensuring

the proper completion of all documentation as well as by maintaining compliance with all LPL/FINRA rules and regulations

Executive Assistant Jul 2005–Jun 2014Served as Executive Assistant to the CEO and subsequently took on additional role as Director of Operations. Maintained CEO’s appointment schedule by planning and scheduling client meetings and monitoring personal commitments, teleconferences, and travel, as well as monitoring schedule on a daily basis. Conserved CEO’s time by reading, researching, and routing written and email correspondence; drafting letters and documents; collecting and analyzing information; and following up with clients as needed. Assisted CEO in coordinating maintenance of physical property as well as tenant relations. Coordinated various business tracking data for use by CEO. Maintained precision in preparing the client account application paperwork. Coordinate with IT consultant to maintain all technology including desktop computers, projection equipment, and servers on site effectively resolving various technology issues. Responsible for companywide compliance audits and oversees all regulatory requirements including marketing regulatory review and licensing.Career Accomplishments:

Successfully developed position of Executive Assistant which enabled CEO to double the size of the company while maintaining excellent customer service and 99% client retention

Creatively developed and instigated the CWS website using Advisor Square, which allowed clients to have access on their personal data on two portals

Streamlined the process of transferring all client data to new contact management system through the use of Sage ACT! which significantly reduced the amount of time in preparing client paperwork and improved the efficiency of all team members

Successfully completed with excellent results five compliance audits by LPL Financial by ensuring the proper completion of all documentation as well as by maintaining compliance with all LPL/FINRA rules and regulations

EEARLIERARLIER C CAREERAREER

DEEP MUSCLE THERAPY SCHOOL , W ILMINGTON , DE Director of OperationsInstructor

EEDUCATIONDUCATION

Bachelor of Science in Environmental Studies STOCKTON STATE COLLEGE, POMONA, NJ

CCREDENTIALSREDENTIALS

Investment Company Products/Variable Contracts Limited Representative - (Series 6)Uniform Securities Agent State Law Examination - (Series 63) (NASAA)

LPL FINANCIAL

AACTIVITIESCTIVITIES

Volunteer – CASA (Court Appointed Special Advocate) of Denton County2 | P a g e


TTECHNICALECHNICAL A ACUMENCUMEN

Microsoft Office Suite (Word, Excel, PowerPoint, and Outlook), Sage ACT!, Internet Applications

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Documents

Nancy Williamson Resume 2016