Sergio Flores
About Sergio Flores
Sergio Flores is a Senior Director at MassMutual in the Springfield, Massachusetts Area, with extensive experience in operations management and compliance.
Title and Current Role at MassMutual
Sergio Flores holds the position of Senior Director at MassMutual, located in the Springfield, Massachusetts Area. In this role, he is responsible for overseeing multiple key functions including managing call center operations, new business processes, cashiering services, mail services, and concierge services for MassMutual’s retail broker-dealer, MMLIS. His work involves ensuring efficient operations, resolving customer complaints, and addressing regulatory inquiries to maintain compliance with broker-dealer regulations.
Previous Experience at TeleTech
Before his tenure at MassMutual, Sergio Flores worked as an Operations Manager at TeleTech from 2002 to 2006. During his 4 years in Enfield, Connecticut, he was in charge of various operational aspects and contributed significantly to the company's success. His role required him to handle multiple responsibilities simultaneously and ensure optimal performance of the company's operations.
Operations and Supervisory Control at MassMutual
At MassMutual, Sergio Flores has managed the retail broker-dealer MMLIS for 16 years. His duties have included implementing policies and procedures, designing effective supervisory control mechanisms, and delivering monitoring and surveillance. Sergio's experience in compliance consultation and advice has been integral in maintaining the company's adherence to regulatory standards, ensuring that operations run smoothly and effectively.
Customer Service and Compliance Expertise
Sergio Flores has a proven track record in resolving customer complaints and regulatory inquiries, essential for broker dealer compliance. His negotiation skills have allowed him to secure cost-effective settlement solutions, enhancing customer satisfaction while maintaining compliance. His experience spans both domestic and international operations, highlighting his ability to manage compliance and customer service across different regions.
Operational Strategy and Implementation
Throughout his career, Sergio Flores has demonstrated expertise in operational strategy by implementing new operational groups both domestically and internationally. His strategic initiatives have included negotiating settlement solutions, implementing new policies, and designing supervisory control procedures. His efforts have consistently aimed at improving operational efficiency and ensuring regulatory compliance.