Anthony Capo Email & Phone Number

United States

Dedicated executive with a passion for excellence and building a collaborative environment to assist a public or private firm in reaching its strategic objectives. Role required leading a line of business operational risk team and ensure the business line’s operational risk framework was aligned with the greater enterprise. Acute knowledge of operational risk framework components led efforts to ensure segregretion of duties between first and second line responsibilities. Drove reduction in operational risk events while enhancing the business line’s risk and control environment.Close engagement with external regulators and internal audit to ensure required actions were met on a timely basis.Led enhancements to ensure third party services, manual processes and new/modified products and services were delivered within the business and corporate risk appetite.

United States

Responsible for leading multiple operational teams responsible for delivering a positive client experience, operational support, creating scalability and internal efficiencies while creating atmosphere of efficiency, collaboration, and teamwork.Led efforts to increase straight-through processing and enhancingthe rules based plaatform to reduce manual intervention. Managed staff located offshore and in several onshore regions.Able to improve client experience through automation and simplifying operational processes.Led efforts to ensure clients and advisors remained in compliance with newand changed regulatory drivers,

New Jersey, United States

Responsible for leading client facing teams inclusive of Account Management, Client Training and Client Transition Services.Ensured client engagement was relevant to current market and regulatory drivers and conducted on a regular basis. Assisted clients and advisors with incremental growth opportunities.Ensured client and advisor training was kept up to date and delivered in multiple and repeatable venues for client/advisor engagement (onsite, video on demand, schedule training forums, etc.)Led team responsible for client/advisor on-boarding, merger/acquisittion and off-boarding activities. Sucessfully enhanced the transition process to accomplish in excess of 100 events annually. Sucessfully engaged expertise throughout the line of business to support client transitions ensuring the impact of change was minimized throughout the transition process.

United States

Responsible for servicing several strategic relationships inclusive of retail, advisory and institutional clients.Led opportunities for incremental client growth and ensuring the firm’s product/service deliverable met and or exceeded expectations.Delivered solutions to increase incremental growth opportunities and ensuring clients remained in compliance with regulatory drivers.

United States

Responsible for managing several co-located operational teams focused on client account services, security information/valuation, and stock loan operations.Led transformational efforts to enhance the firm’s operating model and simplify the level of client engagement.Strenghtened the control environment to processing accuracy and timeliness.

Certificate Of Completion

Course of study completion at the Securities Industry Institute sponsored by the Securities Industry Association

Bachelor Of Business Administration - Bba, 3.8 Gpa

Bachelor Of Business Administration - Bba, 3.8 Gpa

BS in Business Management & Economics