Becky Kuang

• Coordinated daily operations to ensure efficiency and effectiveness across teams.
• Implemented process improvements to streamline workflows and enhance productivity.
• Monitored performance metrics to assess operational effectiveness and identify areas for growth.
• Collaborated with cross-functional teams to drive project initiatives and strategic goals.
• Facilitated training sessions to develop team skills and operational knowledge.
• Developed standard operating procedures for consistent operational practices across departments.
• Managed resource allocation to optimize team performance and project execution.
• Developed and implemented operational strategies to improve efficiency and reduce costs.
• Managed teams of 10+ employees across multiple departments, overseeing their daily operations and workflow.
• Provided direction on process improvement initiatives to increase productivity and profitability.
• Coordinated cross-functional teams in order to meet project timelines and deliverables.
• Directed the evaluation of existing systems and processes for opportunities to increase efficiency or reduce costs.
• Built relationships with internal stakeholders such as HR, IT, Finance and Marketing.
• Provided leadership, insight and mentoring to newly hired employees to supply knowledge of various company programs.
• Used strong issue resolution and communication skills to cultivate and strengthen lasting client relationships.
• Mitigated business risks by working closely with staff members and assessing performance.

Oversees the operational and administrative functions that support the firm's Operations (back office) and account transfer activities. This role involves managing teams, ensuring efficient workflows, and maintaining regulatory compliance within the investment operations. They bridge the gap between the front office (sales and trading) and other support functions like client service and clearing firms (Pershing, Fidelity, and Charles Schwab).

• Team Management & Leadership:Leading and motivating back-office teams, ensuring efficient workflow, and fostering a collaborative environment.
• Process Optimization: Identifying areas for improvement in workflows, implementing new technologies, and streamlining operations to enhance efficiency and accuracy.
• Regulatory Compliance:Ensuring adherence to all relevant regulations, industry standards, and internal policies, minimizing risk and maintaining compliance.
• Reporting & Analysis:Preparing and analyzing various reports, including performance reports, operational reports, and regulatory reports, providing insights to management.
• Relationship Management:Building and maintaining strong relationships with internal stakeholders (front office, IT, finance) and external vendors and partners.
• Project Management:Managing projects related to back-office operations, including new system implementations, process enhancements, and regulatory changes.
• Risk Management:Identifying, assessing, and mitigating operational risks associated with back-office activities.
• Training & Development:Providing training and development opportunities for team members, ensuring they have the skills and knowledge to perform their duties effectively.

• Provided crucial operational support, often managing daily tasks that are essential for smooth investment operations and cashiering including stock certificate deposits. This role involves a combination of operational support, new account openings, account transfers, process improvement, and risk mitigation, with a focus on efficiency and accuracy.
• Coordinated with custodians to ensure accurate fund transfers and asset management.
• Analyzed discrepancies in account statements and resolved issues promptly.
• Managed daily trade settlements and reconciliations for investment transactions.
• Supported compliance checks to ensure adherence to industry regulations.
• Collaborated with cross-functional teams to implement system upgrades and improvements.
• Processed investor subscriptions and redemptions per client instructions using various systems.
• Identified discrepancies between internal records and external custodian files.
• Reconciled corporate actions such as dividends and stock splits for assigned portfolios.
• Input client data into custodial account opening tools, and prepare account paperwork.
• Leverage knowledge of custodial Know Your Customer (KYC) requirements to ensure accurate and compliant documentation.
• Monitor and resolve Not In Good Order (NIGO) items to ensure timely account openings.