Nicole Smith

Manages cyber security incident response in partnership with compliance, regulatory entities, and business partners. Plans, organizes, and executes incident response plans to align with SEC Regulation S-P and legal counsel teams. Ensures cross-functional incident coordination is scaled appropriately to meet global security objectives.

ServiceNow IT Service Management platform owner. Enterprise Service Management process owner for Incident Management, Major Incident Management, Problem Management, and Change Management functions. Leads with a focus on the overall customer experience. Driving continuous improvement initiatives that better support business needs while adding value to the firm. Performs trend analysis to prevent and eliminate problems with an emphasis on creating a more stable production environment across the global technology enterprise.

Incident Management Manager providing team oversight with primary responsibility for managing High Severity and Major Incidents. This included managing a 24/7 staff within the US, Canada, and India. Led a high performing team while partnering with key stakeholders in business and technology areas across multiple divisions worldwide.

Managed complex initiatives to support new product implementations, organizational strategies, and processes spanning across multiple divisions worldwide. Provided technical solutions to meet business objectives that maximized customer satisfaction. Maintained strong working relationships within the organization to serve as a liaison between our technical partners and end-users. Mentored project team members to effectively manage task assignments, meet deadlines, and adhere to the system development lifecycle.

Coordinated, lead, and participated in initiatives to address changes within the mutual fund industry. Provided consulting services designed to improve business practices within the customer facing channels. Periodically reviewed the corporate book of business, SEC regulations, and "hot issues" to remain focused on high priority business initiatives.

Supervised a team of Specialists that worked directly with the back office personnel of Franklin Templeton's top-producing brokerage firms to facilitate transactions via the NSCC, process manual requests, and answer all inquiries. Monitored daily activities to ensure superior customer service was provided on a consistent basis. Evaluated each team member's performance and recognized accomplishments through positive reinforcement. Conducted firm visits with the Relationship Management Team to enhance business relationships and identify opportunities for improvement.

Answered incoming phone calls, researched complex issues, and provided issue resolution to back office personnel. Proactively communicated service related issues and changes within the industry to brokerage firm operation's department. Maintained a strong work ethic and acted as a mentor to peers.

Supervised team to provide timely and accurate processing of broker dealer requests received via mail or telephone. Supported employee development by interacting with team members to provide feedback designated to improve skill sets. Worked with various departments throughout Franklin Templeton to discuss/resolve various issues and responded to inquiries regarding NSCC services.

Offered unique and individualized customer service assistance to financial advisors. Researched, analyzed, and resolved complex issues by personally expediting the resolution process. Conducted training for new and existing employees to enable employees to perform job duties independently.