Allison S. Email & Phone Number

Westlake, Texas, Us

Westlake, Texas, Us

Lead development and implementation of Quality Assurance programs supporting all first line business units, identifying potential issues with risk and control environment and assist with remediation.Develop metrics and dashboard to monitor business enhancements and modifications to RCSA in alignment to QA programs.Champion the development of a project management program to support all of first line risk management organization.Drive the maintenance and enhancement of organization's RCSA, providing quarterly reporting to leadership.

Drive transformation of the team toward standardization and manual process reduction whilst enhancing business partner and client relationships. Implementation of process efficiencies to reduce risk. Lead the operational support of pricing and statement processing for over 3500 registered investment advisors, banks and trusts.Develop metrics to identify issues and reflect state of business operations. Negotiate service levels with business partners to establish best practices and operational efficiency. Champion automation and partner with Technology to support business' competitive edge and improve operational environment. Manage the transition of business unit from Texas to Rhode Island.

Led strategic business planning, technology implementation, client service management, operations and controls in support of operation functions for over 1200 portfolios. Directed staff of over 40 employees in Trade Operations in the US, India and Ireland. Developed a new operations team to centralize service delivery, reducing errors and improving efficiency.Reviewed, designed and implemented operational controls and associated key risk metrics. Monitored risk metrics and indicators to identify potential risk issues, trends and exposures. As part of new or modified process development and implementation, identified and evaluated controls relative to firm control programs and service delivery. Evaluated quality control models for process and control testing and presented findings to management.Worked with technology to develop and install a new trade management application to minimize manual touchpoints and rework and drive toward industry best practices. As product manager for application, directed prioritization of continued enhancements to support client and business needs. Lead development of procedures to support new operating model.Managed multiple projects to optimize business model and site strategy to support client and operational efficiency.

Led trade confirmation and settlement in over 40 markets for 40 Act mutual funds, institutional funds and client accounts. Supervised a team of eleven analysts and one manager across the US and India. Successfully managed transition of operations from Boston MA to two new sites: Westlake TX and Chennai India. Key operations advisor for Lehman bankruptcy and Iceland currency crisis. Developed a claims process, which deflected charges of over $50,000 against funds.

Co-chaired firm-wide investment committee to review new markets and investment opportunities. Performed due diligence of stock exchanges, depositories, banks and brokers to identify operational risks of new and existing investment markets. Collaborated with business partners and vendors to establish service levels and procedures to support investment while mitigating risks. Monitored vendor performance relative to service levels.

New York, Ny, Us

Responsible for client and custody vendor relationships across Asia and Europe. Conducted due diligence reviews of markets and custodial service offerings throughout the Asia-Pacific region. Negotiated vendor service and fee contracts for firm, enhancing competitive positioning through improved service delivery and cost reduction. Developed business model to handle market events and limit impact to clients and firm. Held prior roles at firm, which may be discussed.

Ma, International Affairs

Ba, International Relations