SHAUNTEE MIGUEL
Alamo Capital
Oakley
1
Certification
24
years of professional experience
Results-driven operations professional with over 20 years in business operations and process improvement within regulated environments, including four years in broker-dealer operations. Expertise includes ACAT transfers, client onboarding, trade settlement, and reporting. Holds SIE and Series 99 licenses, demonstrating a strong commitment to accuracy and client service.
Work History
Operations Assistant
4 Years- Support the daily operations of a broker-dealer by processing a wide range of operational requests for retail and institutional brokerage accounts. Utilize DTCC, RBC Nexus CRM (Salesforce), RBC Trading, Microsoft Excel, Microsoft Office, QuickBooks, Zoom, and Microsoft Teams to support daily operations, client service, and reporting.
- Coordinated account transfers (ACATs), new account onboarding, account maintenance, and client account updates, ensuring accuracy and regulatory compliance.
- Process money movement requests, including ACH transfers, wire transfers, journals, and check disbursements.
- Administer Required Minimum Distributions (RMDs), Qualified Charitable Distributions (QCDs), and other retirement account transactions.
- Manage corporate actions, reorganizations, and security-related operational events while coordinating with custodians and internal stakeholders.
- Partnered with financial advisors, custodians, internal teams, and clients to resolve operational issues and deliver timely, high-quality service; enhancing client satisfaction.
- Reconciled transactions and reviewed operational activity to support accurate processing of high-value financial transactions, contributing to financial integrity.
- Coordinated daily operational activities to enhance workflow efficiency.
- Supported project management efforts through comprehensive documentation and scheduling.
Business & Reporting Analyst
7 Years- Developed and analyzed operational reports, dashboards, and performance metrics to support data-driven decision-making.
- Compiled and maintained licensing documentation to ensure regulatory compliance and facilitate business expansion.
- Developed and implemented business processes and technical guidance to enhance operational consistency and efficiency.
- Developed, documented, and implemented business processes and technical guidance that improved operational consistency and efficiency.
- Utilized Microsoft SQL Server, Microsoft Excel, Salesforce, and Microsoft Office to support reporting, business analysis, and operational initiatives.
- Presented analytical findings and process improvement recommendations to operational leadership, driving informed decision-making.
- Monitored evolving regulations and industry requirements to help ensure ongoing compliance and support business objectives.
- Supported the company's expansion from one to four licensed facilities over five years, contributing to approximately 250% revenue growth.
Division Business Support Analyst
12 Years 9 Months- Received the Comcast Circle of Success for co-authoring Dynamic Dispatch, an operational process implemented nationwide across Dispatch, Resource, and Technical Operations.
- Achieved recognition with the California Area Vice President Award for exceptional performance and contributions to operations.
- Supported operational reporting and business initiatives for 1,200 regional technicians, 7,500 division-wide technicians, and over 25,000 corporate technicians, enhancing visibility and alignment across teams.
- Collaborated on the design, development, testing, and implementation of operational systems, reporting solutions, and business processes.
- Developed and maintained operational reports, dashboards, and business intelligence tools that provided insights for leadership decision-making.
- Built trusted relationships with business partners and stakeholders by understanding operational needs and delivering data-driven solutions that improved performance and customer outcomes.
- Utilized Microsoft SQL Server, Microsoft Excel, Microsoft Office, and business intelligence tools to analyze operational performance and support strategic decision-making.
- Authored technical documentation, playbooks, and end-user guidance that standardized processes, improved operational efficiency, and supported enterprise-wide adoption.
- Analyzed operational performance using Microsoft SQL Server, Excel, Office, and business intelligence tools to inform strategic decision-making.
Education
Bachelor of Arts - Project Management
Associate of Arts - Business Administration
Skills
Customer support
Team collaboration
Interpersonal communication
Data entry
Client assistance
Positive attitude
Professional and friendly
Certification
- Securities Industry Essentials (SIE) - FINRA
- Series 99 – Operations Professional - FINRA
Timeline
Operations Assistant
Alamo Capital
08.2022 - CurrentRead More
Business & Reporting Analyst
Synesthesia
08.2015 - 08.2022Read More
Division Business Support Analyst
Comcast Cable
11.2002 - 08.2015Read More
DeVry University
Bachelor of Arts from Project Management
Read More
Heald College
Associate of Arts from Business Administration
Read More
AWARDS
Comcast Circle of Success Award, National recognition for operational excellence and business impact