Terri Folkins
San Diego,CA
Summary
Fully registered securities professional with over 2 decades of experience in team leading and building, training, process improvement, regulatory oversight and onboarding. I am energized by working alongside other accountable and responsible stakeholders to foster excellent working relationships, drive culture and support firm initiatives.
Professional leader with executive experience ready to drive impactful change. Proven ability to implement strategic initiatives and enhance operational performance. Valued for collaborative team leadership and adaptability to evolving business needs.
Overview
15
15
years of professional experience
Work History
Vice President | Complex Administrative Manager
RBC Wealth Management
06.2022 - Current
- Support investigations and resolve escalated issues involving sales practice and policy violations along with related trends requiring corrective action.
- Own all facets of employment cycle including but not limited to interviewing, hiring, coaching/mentoring, career pathing. This includes monitoring performance and taking appropriate action to resolve performance and disciplinary action.
- Own onboarding process of all new FAs/support staff develop and lead the foundational plan to properly onboard, including due diligence process prior.
- Monitor P&L for complex, implement practical cost containment policies. Maintenance of daily, weekly and monthly cage reports for audit conformity.
- Additional supervision functions at branch, documenting ongoing training of staff, working to ensure “metrics that matter”, monitoring of branch P&L
- Acting Branch Director 4/2023 to present
AVP, Implementation & Transitions
CUSO Financial Services/Sorrento Pacific Financial Services
07.2016 - 06.2022
- Oversaw teams at multiple BDs under private equity umbrella, responsible for onboarding of independent advisors, bank and credit union investment programs across the country. Harmonized processes to ensure consistent service delivery and experience. Cross trained teams to allow for coverage as needed without overstaffing.
Manager, Branch Supervision
CUSO Financial Services/Sorrento Pacific Financial Services
11.2014 - 07.2016
- Managed staff of remote and onsite OSJs, developed SMART goals and metrics to track, updated process for more robust branch inspections, developed WFH protocol for firm
AVP, Supervision
LPL Financial
01.2010 - 10.2014
- Managed remote and onsite OSJs, facilitated firm disciplinary committee
Skills
- Collaborative team management
- Building professional connections
- Problem-solving skills
Timeline
Vice President | Complex Administrative Manager
RBC Wealth Management
06.2022 - Current
AVP, Implementation & Transitions
CUSO Financial Services/Sorrento Pacific Financial Services
07.2016 - 06.2022
Manager, Branch Supervision
CUSO Financial Services/Sorrento Pacific Financial Services
11.2014 - 07.2016
AVP, Supervision
LPL Financial
01.2010 - 10.2014
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