Erik Noll

Erik Noll has a diverse and extensive work experience spanning various roles and industries. Erik is currently working as the Senior Vice President of Optimization Risk & Controls at Hilltop Securities Inc. In this role, they led a project to revamp operational procedures for 18 teams, standardized formats across departments, and identified processes for improvement using Excel Power BI & Query, Excel SQL Queries, and UiPath Automation bots.

Prior to their current role, Erik worked at TD Ameritrade as the Manager of Security Master Solutions. Here, they identified vendor errors in the Bloomberg Polar Lake system and provided statistical data to resolve reporting issues. Erik also designed and delivered customized training plans for team members on building fixed income securities in the system.

Before joining TD Ameritrade, Erik served as the Operations Trading Manager at Capital One Investing, LLC. In this role, they developed processes to comply with FINRA requirements, managed the shutdown of the trading platform, and handled the transition of 1.2 million clients to E*Trade. Erik also played a key role in the industry update from T3 to T2 settlement and designed Editable Adobe trade tickets for customer service.

Erik's career also includes a role as the Operations Manager at Symetra, where they led the implementation of a new back office and commission system. Erik designed training procedures for staff and representatives, ensured data integrity during system rollover, and facilitated a smooth transition for over 65,000 client accounts.

Furthermore, Erik had a significant tenure at TD Ameritrade, where they held multiple managerial positions. Erik built a centralized Brokerage Operations Control Department, streamlined recon processes, and trained personnel to create a cohesive and effective team. Erik also served as a Team Manager for Mutual Funds, Order Room, and Best Execution, implementing training programs, improving efficiency, and developing sustainable procedures.

Before their career in the financial industry, Erik served in the United States Air Force as a Senior Airman.

Overall, Erik Noll's work experience showcases their expertise in optimizing operational procedures, driving process improvements, managing transitions, and building effective teams.

Erik Noll holds a Masters degree in Leadership from Bellevue University. Erik also obtained a Bachelor of Science degree in Economics from the University of Nebraska at Omaha. In addition to their degrees, Erik has obtained various certifications throughout their career. Erik received their Series 53 certification from FINRA (Financial Industry Regulatory Authority) in April 2017. Prior to that, they obtained their Series 4 certification in September 2015, Series 24 certification in March 2006, Series 55 certification in October 2003, Series 63 certification in January 2003, and Series 7 certification in December 2002. Erik also possesses a certification in BPM, but the institution from which they obtained it is unspecified.