✰ Consult with managers and team members to identify and assess risk issues and ensure timely and adequate resolution.✰ Assist managers with business process documentation (policies and procedures, process maps)✰ Consult with Governance partners (Compliance, Audit, Risk, and Legal) to coordinate new rule interpretation and implementation.✰ Assist with SEC review of the Advisory regarding client agreements for each channel, document preparation and meeting coordination.✰ Manage risk and controls related projects including requirements preparation, scheduling, working with IT partners, testing coordination and deployment to production, including updates to policies and procedures. ✰ Manage or participate with the Periodic Product Portfolio Review.

Business Leader Trading Services Analysts, Specialists, and Associates collaborating across the firm on project delivery, product suitability, risk management, market structure, order rules and market data. Performed hiring, performance reviews, merit increases and promotions. ✰ Directed Trading Operations and Infrastructure including Equities, Options, Fixed Income, Mutual Funds and Security Master.✰ Collaborated with numerous areas of the firm on enterprise risk, operations and supervisory procedures, fee collecting, product suitability, market data parameters and display, TRF & ORF reporting obligations and counter-party risk,.✰ Collaborated and responded to internal audit, enterprise risk, regulatory response and compliance issues.✰ Composed and proofed responses to regulatory inquiries from FINRA, MSRB, SEC and numerous SRO's in Equities, Options and Fixed Income.✰ Oversaw process analysis and improvement, discovery mapping and process diagraming. ✰ Trained and developed Trading Services staff; coached, mentored, and trained new and existing personnel in coordination with HR department. ✰ Managed successful TD Ameritrade integration including order book of 225,000 orders, 30 days of order history and LOPR conversion.✰ Led team implementing block trading and automated allocation build for a new line of investment management business, which grew to $4.0 billion in AUM handling dozens of block orders and thousands of allocations per day.✰ Guided SDLC including business visioning and planning, requirements, testing, and implementation.

Business Leader Clearing Operation of Equities, Options and Fixed Income.✰ Enhanced the options expiration process resulting in real-time functionality and risk management; automated to process expiration automatically on a daily/weekly/monthly basis.✰ Spearheaded Client Trading Enhancement Program resulting in a more robust active trader platform and a modernized back office cash management system that enabled clients to trade complex strategies that included risk management tools, web services updates, and a more user-friendly appearance and functionality.✰ Managed back office and clearing operation including DTCC, NSCC, OCC, MSRB RTRS and FINRA TRACE.

Business Leader Purchase & Sales and Options Operations.✰ Delivered highly-successful LOPR system re-designs and implementation as well as LOPR in-concert system analysis, design, and implementation.✰ Created an OCC real-time trade reconciliation OCCMQ and Expiring Option real-time position reporting and expiring options reconciliation application EORA.✰ Led team implementing Option Symbology Initiative (OSI); led vision and day-to-day project management oversight including back office enhancement, OMS, market data, and front-end applications.✰ Provided strategic direction during major trading disruptions such as during 08-09 market decline, 2010 flash crash, Facebook IPO, and Knight Capital Group issues among others.

Business Leader of P&S and the Options Operations; managed daily workflow for clearing Equity, Fixed Income (including trade reporting) and Options.✰ Recognized as co-owner of a complex option third-party solution implementation of Options First and a migration to Scottrade Pro.✰ Worked with Compliance, Legal, Internal Audit, Settlement, Reconciliation, Stock Record, Reorganization, Dividends and Margin.✰ Directed numerous aspects of confirmations, statements and tax reporting form design, regulatory and compliance.✰ Recognized as the firm’s options principal.

Managing Directors Committee