loader
Summary
Overview
Work History
Education
Skills
Affiliations
Certification
Timeline

Rebecca Sierp

CCO/Operations Manager
Fort Worth
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
5
5
Certificates
1
1
year of post-secondary education
16
16
years of professional experience
Work History

Chief Compliance Officer/Senior Manager

WPWealth LLP
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
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
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
2017-01 - 2018-01

Associate of Arts University Studies

Tarrant County College
- 1995-01
Skills

Problem resolution

Relationship development

Work flow planning

Project planning and development

Risk management

Business administration

Complex problems analysis

Cross-functional communications

Business planning

Operations management

Data Analysis

Superb time management skills

Unsurpassed work ethic

Vendor sourcing

Affiliations
  • National Society of Leadership and Success
  • Women in Leadership
  • Empowering Women as Leaders (EWL)
  • National Association of Plan Advisors (NAPA)
  • TD Ameritrade Client Experience Panel (2016 to 2019)
Certification

Series 65

Professional in Human Resources (PHR)

Certified Plan Fiduciary Advisor

Non-qualified Plan Advisor

Chartered Retirement Plan Specialist

Timeline

Bachelor of Science Business Studies, Business Finance

Southern New Hampshire University
2017-01 - 2018-01

Chief Compliance Officer/Senior Manager

WPWealth LLP
2008-06 - Current

Retirement Plan Administrator

WorkLife Financial
2008-01 - 2008-05

Plan Administrator

D.R. Horton
2005-01 - 2007-12

Associate of Arts University Studies

Tarrant County College
- 1995-01

Series 65

Professional in Human Resources (PHR)

Certified Plan Fiduciary Advisor

Non-qualified Plan Advisor

Chartered Retirement Plan Specialist