Scott Staudenmier
Thornton
Summary
Professional and experienced leader with a strong focus on optimizing performance and enhancing customer satisfaction. Skilled in process improvement, team collaboration, and adapting to changing business needs. Known for reliability, fostering cohesive team environment, and driving tangible results. Proficient in managing operational workflows, ensuring compliance, and leveraging problem-solving abilities to meet organizational goals.
Overview
13
13
years of professional experience
Work History
Branch Operations Manager
Raymond James
06.2024 - Current
- Managing daily branch operations for optimal productivity and customer satisfaction.
- Conducting regular one-on-one meetings, providing actionable feedback to promote continuous improvement.
- Regularly and consistently delivers performance evaluations for staff members, identifying areas for improvement and opportunities for advancement.
- Implemented a streamlined process for timely closure of trading alerts, ensuring thorough documentation and compliance.
- Reduced client paper records by implementing digital archival solutions, enhancing privacy and compliance.
- Collaborates with senior management to create strategic plans for future branch growth and expansion.
- Developed comprehensive onboarding and streamlined processes for integrating new advisors and client service associates, leading to improved operational efficiency.
- Performs operational oversight of two branch locations, ensuring compliance with regulatory requirements.
- Trains employees on proper procedures and strategies to improve productivity.
Director, Enterprise &Operational Risk Management
Charles Schwab & Co
10.2012 - 01.2024
- Enhanced team collaboration through regular communication, goal setting, and performance evaluations.
- Established culture of continuous improvement by fostering open communication and encouraging idea sharing.
- Enhanced employee engagement and boosted team morale through a positive work environment.
- Implemented innovative solutions to address complex problems, streamlining operations and enhancing regulatory adherence.
- Managed budgets effectively to ensure optimal use of resources while maintaining financial stability.
- Strengthened internal controls by reviewing existing policies and procedures, ensuring compliance with regulatory requirements.
- Improved project efficiency with strategic planning, resource allocation, and time management practices.
- Proactively identified potential risks and implemented mitigation strategies to minimize negative impacts on projects or business operations.
- Enhanced data-driven decision-making by implementing advanced analytics and reporting tools.
Education
Bachelor of Science - Business Management
University of Phoenix
Colorado06-1999
Skills
- Strategic planning
- Employee development
- Business operations leadership
- Team building/leadership
- Effective stakeholder engagement
- Performance goals
- Cross functional leadership
- Coaching and mentoring
- Work prioritization
- Servant leadership
Prior Charles Schwab Experience
Senior Manager, Supervisor & Controls
MARCH 2004-OCTOBER 2012
Supported a team of professionals across multiple locations in performing licensed supervisory responsibilities including supervising trades to identify suitability concerns. Performed supervisory reviews and approvals related to trades, options surveillance, and communications with the public. Developed leadership reporting designed to provide analysis of trends for key supervisory risks and areas of improvement.
Senior Registered Representative
AUGUST 1999 – MARCH 2004
Provided point of contact advice for retail clients adhering to the respective policies, procedures, and rules focused on suitability. Facilitated training of new to firm brokers, including trading best practices. Satisfied requests ranging from educating clients on investing to trade requests.
Licenses
Series 7, 9, 10, 24, 63, & 66
Timeline
Branch Operations Manager
Raymond James
06.2024 - Current
Director, Enterprise &Operational Risk Management
Charles Schwab & Co
10.2012 - 01.2024
Bachelor of Science - Business Management
University of Phoenix
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