Daniel Jones
Burlington,ON
Summary
Performance-driven Vice President with 15 years of experience aligning systems with business requirements, policies and regulatory requirements. Passionate about applying excellent organization and communication skills to manage and lead teams. Results-oriented individual well-versed in interfacing and consulting on business processes to drive results based on sound overall business judgment.
Overview
17
17
years of professional experience
Work History
Head of Professional Services- IFS
iPipeline
09.2023 - Current
- Ensure successful implementation and delivery of IFS solutions to clients
- Manage an organization of 16 individuals with a 2024 revenue target of $4.2 million.
- Increased 2024 Q1 Revenue 270% over prior year
- Key responsibilities include: Leadership and Team Management, Client Engagement, Project Management, Revenue Generation.
Business Solutions Architect
iPipeline
07.2021 - 09.2023
- Shaped and optimized client-centric strategies across product development, sales, and professional services
- Designed and marketed customer facing dashboards, generating $1.2 million in new license sales.
- Consulted on deep dive and sales strategy calls, directly resulting in over $1.4 million in new license sales.
- My responsibilities included: Client-Centric Solutions, Operational Efficiency, Strategic Messaging, Subject Matter Expertise.
Vice President: Sales Supervision
Advisor Group
06.2019 - 01.2021
- Driving regulatory compliance, process optimization, and organizational growth
- Responsible for the design and application of Reg BI/NY 187/State rules related to the sales of complex products.
- Business sponsor for RFP and decision for Annuity Order Entry Solution Provider.
- Panelist at multiple industry conferences including FSI.
- Key highlights include: Supervision Pre-Approval Ownership, Regulatory Compliance Excellence, Procedural Expertise, Team Leadership and Suitability Standards, Professional Development Initiatives.
Director: Field Supervision
Questar Capital Corporation
06.2017 - 03.2019
- Owned and led Questar Capital's and Questar Asset Management's Field Supervision Program, reporting directly to the Chief Operating Officer
- Designed and established policies and procedures to adhere to anticipated DOL regulation.
- Key responsibilities include: Developed and maintained a robust supervisory structure, Established procedures to guarantee sales practices aligned with regulatory standards, Implemented firm guidelines regarding discipline, Created and executed internal audit program, Identified firm risks and recommended potential remediation options.
Sales Supervision Manager/Corporate Registered Principal
Ameriprise Financial Services, Inc.
12.2006 - 12.2016
- Drove comprehensive oversight as a Supervision Principal for a sizable region of Financial Advisors, Registered Assistants, and Unlicensed Staff
- Key responsibilities include: Headed a team of four suitability principals, Played a key role in providing suitability determinations, Conducted large-scale field-facing educational calls, Collaborated closely with field leaders and relationship managers.
Regional Sales Manager
Ameriprise Financial Services, Inc.
12.2006 - 12.2016
- Spearheaded a high-performing team driving growth across 160+ individual producers and $125 million in GDC
- Drove territory ranking from 18/21 to 3/21 in 2 years through commitment to sales strategies and opportunity mining.
- Key responsibilities include: Oversaw a dynamic team, Provided mentorship to advisors, Actively participated and presented in recruiting meetings.
Transition Specialist
Ameriprise Financial Services, Inc.
12.2006 - 12.2016
- Successfully onboarded and transitioned over 60 new advisors, representing AUM of over $4 billion.
- Key responsibilities include: Train new resources on technology, Identify and prioritize client targets in the transition process, Rules monitoring/enforcement to ensure compliance with Protocol and Non-protocol procedures.
Education
Finance
University of Saint Thomas
Saint Paul, MN01.2007
Skills
- Regulatory Oversight
- Solution Selling
- Pipeline Management
- Client Relationship Management
Websites
Licenses
Finra Series 4, 7, 9/10, 24, 53, 63, 65
Timeline
Head of Professional Services- IFS
iPipeline
09.2023 - Current
Business Solutions Architect
iPipeline
07.2021 - 09.2023
Vice President: Sales Supervision
Advisor Group
06.2019 - 01.2021
Director: Field Supervision
Questar Capital Corporation
06.2017 - 03.2019
Sales Supervision Manager/Corporate Registered Principal
Ameriprise Financial Services, Inc.
12.2006 - 12.2016
Regional Sales Manager
Ameriprise Financial Services, Inc.
12.2006 - 12.2016
Transition Specialist
Ameriprise Financial Services, Inc.
12.2006 - 12.2016
Finance
University of Saint Thomas
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