Ms. Lamb is Director of Operations for Sovereign Investment Advisors. Ms. Lamb has extensive industry experience specifically related to institutional clients within Indian Country. Her responsibilities include management of service and operations, compliance administration, technical liaison, office management and human resources.
Ms. Lamb’s supervision includes: Overseeing daily operations regarding new accounts, transfers, trading, and money movement; Compliance responsibilities including enforcement of policies & procedures and managing revenue reconciliations from advisory fees. Also manages FINRA registrations & annual updates for mandatory SEC filings; Technology liaison ensuring highest level of cybersecurity with 3rd party consultant; Provides human resource generalist guidance to managers and employees including payroll, benefits, 401K and compliance. Also negotiates annually, all employee benefits, including medical, dental & vision.