Summary

Overview

Work History

Education

Skills

Affiliations

Certification

Timeline

Rebecca Sierp

CCO/Operations Manager

Fort Worth,TX

Summary

Motivated and proficient senior manager offering history of success coordinating and monitoring operations and compliance across RIA firm. Effective leader and problem-solver dedicated to streamlining operations to decrease costs and promote organizational efficiency. Highly committed with hardworking mentality to maintain quality of services and products. Bringing 12 years of experience in field and ready to take on challenging, growth-oriented role.

Overview

Certificates

year of post-secondary education

years of professional experience

Work History

Chief Compliance Officer/Senior Manager

WPWealth LLP

Fort Worth , TX

2008.06 - Current

Ensure RIA firm is being run legally and ethically, complying with all applicable SEC and DOL regulations.
Represent Compliance Department in cross functional firm initiatives.
Develop and deliver education on compliance policies and procedures to ensure proper understanding of regulatory risks and responsibilities.
Review, analyze, update, and maintain all compliance filings, disclosures, forms, policies and procedures.
Optimized operational continuity by implementing workflows and enhanced inventory documentation.
Managed large-scale projects and initiatives including, introducing new systems, tools, and processes to support attainment of challenging objectives.
Supervise and direct the operations team to keep projects on-track and tasks prioritized.
Oversee trading desk and billing department, assets under management $650 million.
Manage 40 different company retirement plans, assets totaling $55 million.

Retirement Plan Administrator

WorkLife Financial

Irving , TX

2008.01 - 2008.05

Served as the daily contact to sponsors and participants regarding 401(k) matters.
During the merger with WorkLife Financial, responsible for custodial transfer of all clients (setting up transfer of assets, blackout notices, participant notifications, etc.)

Plan Administrator

D.R. Horton

Fort Worth , TX

2005.01 - 2007.12

Administered the company 401(k) plan within company policy and federal regulations.
Processed month-end reports (required minimum distributions, loans in default, residual participant balances), enrollment eligibility and sent out enrollment packets on a quarterly basis.
Assisted in annual plan audits by preparing reports and gathering requested information.

Education

Bachelor of Science - Business Studies, Business Finance

Southern New Hampshire University

Hooksett, NH

2017.01 - 2018.01

Associate of Arts - University Studies

Tarrant County College