Strategic Planning:  The organization lacked a disciplined process for managing client assets.  Performance had deteriorated causing sales and client retention to decline.  Determined where the department needed to be in three to five years in terms of product placement and performance then developed and implemented a process for product management to include assert allocation and security selection.  Results: Product performance improved across all portfolios; reduced performance dispersion and lower overall client risk resulting in a 30% increase in sales as well as a client retention rate of greater than 95% for the department

Portfolio Performance and Risk Management:  Determined that product performance and risk profiles were inconsistent between products and not in line with stated department goals. Potential fiduciary liability if performance was not corrected. Loss of future revenue due to client retention issues and lower collected fees. Analyzed risk parameters and determined the appropriate levels of risk based upon client profiles and investment objectives.  Established risk measurement characteristics and implemented a process for monitoring. Results: Better investment performance at a lower risk profile for client portfolios. Reduced the possibility of client dissatisfaction. 

Program Development:  Poor execution placed the organization’s objectives at risk.  Determined communication between partners, vendors and end user of the products/services was ineffective and competing interests were not aligned with the corporate goals.  Developed and implemented a communication plan and in-progress reviews enabling all participants to share information, solicit feedback and address concerns.  Results:  Improved communication, improved execution at lower cost and increased clarity of purpose within the organization

Process Management:  Discovered the organization did not process new employees in a timely manner.  Processes were inefficient and records were misplaced.  Process took too long and took personnel away from mission critical activities.  Improved procedures for records review through training and application of standard procedures.  Identified and eliminated redundant procedures.  Enforced policies and coached individuals to pay attention to detail.  Results:  Increased efficiency and reduced processing time by 50%.  Reduced overtime budge and increased morale of unit.

Budget Development and Execution::  Developed a Budget of $25 million for the installation of 16 new equipment systems within an 18 month time frame. Systems were to be completely integrated in the proper timeframe or the funding would be lost.   Developed plans for the staged delivery of the equipment to include on-site support and training. Developed training plans for multiple organizational levels. Coordinated the delivery and training with end users. Managed the disbursement of budgeted funds for the installation process. Results:  Equipment was integrated ahead of time and within budget. Saved $3 million. 

Risk Management:  Determined that product performance and risk profiles were inconsistent between products and not in line with stated organizational goals.  Potential liability if performance was not corrected.  Loss of future revenue due to client retention issues and lower collected fees.  Analyzed risk parameters and determined the appropriate levels of risk based upon client profiles and objectives.  Established risk measurement characteristics and implemented a process for monitoring.  Results:  Better performance at a lower risk profile for client. Reduced the possibility of client dissatisfaction.

Due Diligence:  Conducted an acquisition due diligence examination.  The acquisition would help the acquirer develop a framework for accelerating the growth of the company.  The acquisition would increase the prestige and financial strength of the acquiring company.  Developed a plan focusing on analyzing the following areas:  culture, personnel, business processes and application, operations, and regulatory compliance.  Conducted the analysis of the company through a series of in-depth interviews, surveys, and detailed analysis of company records, both financial and businesses processes.  Results:  Recommended the acquisition proceed.  The acquiring company executed the acquisition.