Experience includes managing a variety of Operations, Technology, Compliance, and Broker/Dealer activities in the financial services industry with entrepreneurial spirit. Created new ways to approach old business models for growing a profitable bottom line with built in technology solutions for servicing complex processes. Managed the successful development and execution of strategic projects, compliance based projects, operations and technology projects to improve efficiency and cut costs. Headed the planning and execution of multiple firm relocation projects including all phases of space procurement, design concept and finishes, technical and mechanical specifications, IT requirements. Launched the implementation of a firm-wide CRM solution with integrated Equity trading and commission data to improve sales prospecting, institutional client on-boarding, and business intelligence. Managed all vendor relationships as well as outsourced Technology, Accounting, and Clearing Service providers.Areas of experience and responsibility: Corporate FinanceBudgeting & Re-ForecastingBroker Dealer Books and RecordsHR and Employee Benefits ManagementInternal analysis & reporting on headcount and financial operating expense variancesSharepoint managementClient Relations - Hedge Funds, Pension Funds, Mutual FundsIT and Telecom InfrastructureManage Prime Brokerage RelationsMarket Data IntegrationTrading OMS and Clearing Systems IntegrationCoordinating with Compliance departments and Trading groups to meet regulatory requirementsLocation StrategyOffice management, relocations, and build outsIndustry Licenses:FINRA Series 7 (General Securities)FINRA Series 24 (General Principal)FINRA S-99 (Operations Professional)
Listed skills include Financial Services, Series 7, Trading, Trading Systems, and 32 others.