Jacob Gibbs
Waterloo
Summary
Dynamic Business Execution Consultant with 25 years at Wells Fargo Advisors, specializing in operational risk assessment and quality control. Proven track record in enhancing team performance and developing policies that mitigate risk. Skilled in project management and employee training, fostering a culture of continuous improvement and exceptional customer service.
Overview
26
26
years of professional experience
Work History
Business Execution Consultant/Securities Operation
Wells Fargo Advisors
St. Louis
03.2015 - 03.2025
- Perform and deliver weekly quality control reports to management for up to 40 associates. Provided feedback to managers to develop action plans to enhance associates' performance.
- Individually review and update policies, procedures, and training guides to assess operational risk from inadequate or failed internal processes.
- Assess the risk to the company and our clients with regard to deposits, ACH, wire, and trading activity by reviewing the clients' activity with BETA and Smartstation.
- Annual review of the WellsTrade Control Groups' controls with several project/audit teams to ensure that our policies, procedures, and associate activity do not expose the company or clients to any risk.
- 25 years of experience in asset movement with Credit Margin and the WTCG. This includes extensive knowledge of BETA, WORD, Excel, and Outlook.
- Maintained positive working relationship with fellow staff and management.
- Managed multiple projects simultaneously, ensuring timely completion.
- Provided advice on operational processes, business development initiatives, organizational changes and other areas of improvement.
Team Leader/Senior Credit Margin Associate
Wells Fargo Advisors
St. Louis
03.2009 - 03.2015
- Assist the Process Manager to supervise and guide a team of 6-10 Operations Associates to help them in achieving their daily and career goals.
- Daily review of client activity to assess risk and for regulation violations, to reduce the risk to our clients and the firm.
- Policy and procedure review and updates, as needed, for the department.
- Strong working knowledge of the securities industry, including rules and regulations.
- Resolved customer complaints in an effective manner while maintaining a high level of customer service.
- Identified areas for improvement, narrowing focus for decision-makers in making necessary changes.
- Developed strategies for problem solving and conflict resolution among team members.
Credit Margin Associate
A. G. Edwards
St. Louis
08.1999 - 03.2015
- Worked directly with financial advisors to analyze and resolve issues on a day-to-day basis.
- Worked on daily reports, including margin calls, day trades, trade extensions, wire transfers, ACH transfers, check disbursements, option reports, etc.
- Trained newly hired associates. This training consisted of all the reports mentioned above.
- Subject matter expert for the department.
Education
Bachelor of Science - Finance
Southern Illinois University, Edwardsville
Edwardsville, IL08-1999
Skills
- Quality control
- Operational risk
- Policy writing
- Risk assessment
- Project management
- Financial analysis
- Customer service
- Data analysis
- Employee training
- Process improvement
- Team leadership & development
Accomplishments
- 2012 Care Team Member of the Year
- 2012 Premier Service Professional Award
- Two time Risk Champion
Affiliations
- I enjoy reading, playing gold and spending time with my family.
References
References available upon request.
Timeline
Business Execution Consultant/Securities Operation
Wells Fargo Advisors
03.2015 - 03.2025
Team Leader/Senior Credit Margin Associate
Wells Fargo Advisors
03.2009 - 03.2015
Credit Margin Associate
A. G. Edwards
08.1999 - 03.2015
Bachelor of Science - Finance
Southern Illinois University, Edwardsville
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