Amanda Simmons
Chief Operating Officer at Tower View Wealth Management
- Role
- Chief Operating Officer at Tower View Wealth Management Llc
- Location
- Appleton-Oshkosh-Neenah, US
- LinkedIn followers
- 500 followers
About Amanda Simmons
PC and Mac Proficient Google Drive Portfolio Center Software Adobe…
Experience
Chief Operating Officer
Tower View Wealth Management Llc
May 2014 — Present · Oshkosh, WI, US
Oversee a small team of internal and remote employees by directing, administering and coordinating the internal organization operations; in accordance with policies, goals and objectives established and agreed upon with the Managing Director. Works in conjunction with CFA to continually enhance the client experience by providing current and prospective clients with; portfolio reviews, assisting with financial needs and questions and delivering timely responses through email correspondence, phone calls and in-person meetings.Maintain and validate system data to ensure a smooth billing process and execute from start to finish the internal quarterly billing operations. Prepare invoices using Schwab Performance Technologies Portfolio Center Hosted software; generating over 150 invoices on a quarterly basis, and review reports and invoices to ensure accuracy and remediate any errors or manual adjustments when necessary. Develops and implements a compliance program that not only is designed to meet SEC’s and Wisconsin state regulatory expectations, but that works in concert with the organizations structure, relative level of complexity and resources. Manages the monitoring of business activities for compliance with applicable rules and regulations and, continually monitors and researches relevant SEC guidance and rulings, and updates operating manuals and procedural documents when regulations change. Played an integral role in shifting the organization from being a state registered advisor to registration with the Securities and Exchange Commission, while working in conjunction with the CCO, legal counsel and outside third-party compliance consulting firms. Continue to research and incorporate new technology platforms and tools as well as initiated and executed the transition to a secure cloud-based document management system.
Education
Illinois Institute of Art
Bachelor of Arts, Fashion Marketing and Management
2008 — 2011
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