David Adam Email & Phone Number

Raleigh, North Carolina, United States

Provides global financial messaging and sanctions advisory services for 2,000 global users, 90 branches (30 locations), 70 BICs in accordance with industry standards and market practices. Highlights include:• Managed ISO 20022 (financial messaging platform) user training and development program• Implemented (two-year integration) global Travel Rule, Outbound Payments Quality Monitoring Program• Established AML and KYC global program for assessing financial messaging in keeping with the US Travel Rule requirements• Managed annual certification requirements, user training and employee development in accordance with SWIFT’s Customer Security Program (CSP), Standard Release (SR), Relationship Management Application (RMA) audit, Free Format SWIFT (FFS) controls• Designed, documented, and delivered AMER’s New Hire [operations] orientation program (~ 20 participants every 10 weeks)• Created an employee Rewards and Recognition program acknowledging extraordinary individual contributions

Raleigh, North Carolina

Manage Operational Risk for the Americas. Oversee Listed Derivatives, Clearing, Cash Management, Trade Reconciliations and Reporting. Lead Risk Manager [globally] for Operational Control and Entity Oversight ensuring process and control continuity, standardization, transparency, and Best Practice across all operational hubs. Highlights include:• Risk Assessment. Implemented continuous improvement plan for in-depth analysis of middle and back-office operations. This included a fulsome review of documentation, process flows, metrics, existing performance measures, and impacts to SOX, RCSA and Internal Audits. Worked with Line Management to identify and ensure operational incidents are properly assessed (root cause), systemically recorded, risk-assessed and remediation action plan implemented. Consult, advise, collaborate with Investment and Private Banking senior management team regarding Operational Control & Risk discipline and strategy.• New Business and Location Deployments. Critically analyze and risk-assess new business opportunities and location deployments (on shore and off shore work group deployments). Conduct benefits analysis, evaluate impact to Operations, direct Operations Control and Risk assessments, ensure process and governance structure of projects align with corporate strategy.• Audit Engagement. Led ad hoc Governance Team to critically analyze internal and external protocol for managing audit engagements. Implemented Best Practice standards and clearly defined operating procedures across Line Operations and Risk Teams to eliminate financial, regulatory, and operational risk.• Continuous Learning. Redesigned Summer Internship to provide work group rotation and integrated case study analysis. Work-in-process enhancing the global Analyst training program.

Chicago, Illinois

Managed GMI, Clearvision, and UBIX Customer Services and Help Desk Operations. Established relationships and worked with external stakeholders to mitigate risks associated with software delivery and performance. Liaised with senior stakeholders including Regulatory agencies to manage Service Level Agreements (SLA) and Market Surveillance inquiries. Facilitated contract negotiations, technical support and process management for Tier 1 Managed Account Representatives. Managed internal and external user training. Highlights include:• Risk. Implemented process for managing risk controls, SWAT efforts addressing program defects, client communication (functional and technical specifications), redesigned SLAs, and chaired User Group forums. • Performance. Implemented process for prioritizing deliverables, Services’ Client Liaison (Tier 2) program, on-site support in client back office, F&O and OTC weekly delivery status reviews, through put metrics measuring time-on-task, partnered with Development to create agile support and delivery.• Changed Corporate Culture. Led strategic initiative for identifying and managing Business Unit goals including resources required, timeline for delivery and action owner. Created Known Issues logs and established Best Practices for Client Liaison teams. Implemented weekly team meetings and monthly Town Hall presentations along with 1:1 and skip-level 1:1 meetings. Structured Post Mortem documentation and resolution management. • Talent Management. Facilitated wage-scale review. Developed multi-tiered recruiting, training, and employee development program. Partnered with local universities to cost-effectively attract top talent. Reduced new hire integration time-to-proficiency. Established Summer Intern program. Redesigned Graduate Training Program and implemented a Cohort development program. Partnered with CMEGroup Clearing House for on-site training and FCMs providing hands-on back-office integration training.

Baltimore, Maryland

Managed all aspects of post-execution trade and position management for North American Exchange-Traded (Listed) Derivatives and Over-the-Counter markets. This includes clearing operations, settlements, and risk. Additionally I consolidated Back-Office Operations into a single processing center while integrating new markets and increasing market share - led global integrations, systems development and project management initiatives. Highlights include:• Consolidated back-office operations into a single processing center while integrating new markets and increasing market share.• Integrated North American EFRP (Fixed Income, FX, Equity, AG) top-day futures trade flow (execution through statement generation) and cash leg validations. Realigned execution, booking model, futures and cash Operations' interfaces, communication, documentation, training and development.• Migrated data entry operations off the CME trading floor to the Baltimore processing center resulting in a 50% reduction in staff while achieving full-compliance relative to CME's Annual CTR audit.• Co-managed NYMEX, COMEX merger and DME integration into the CME Group including operations testing and training.• Consolidated Canadian processing (ME, ICE Canada) from multiple clearing brokers into a centralized clearer which reduced out-trade exposure by 95% and clearing costs by 50% with the foreign approved participant account consolidation.• Integrated follow-the-sun processing. Transferred Eurex and Liffe end-of-day processing from Glasgow to Baltimore reducing overtime and creating DR redundancies. Transferred end-of-day settlement validations to Singapore.• Reorganized Operations creating role identification, progression planning, and internal/external training certifications.

Ph.D Candidate, Cultural & Educational Policy Studies (Elps), 4.00 Of 4.00

Activities and Societies: - Part-time student - Balanced family, work (Vice President at JPMorgan), part-time adjunct instructor (taught.

Master Of Arts (Ma), Management, 3.67 Of 4.00

Activities and Societies: - Part-time student - Balanced family, work (Manager at the Chicago Mercantile Exchange), part-time adjunct.

Bachelor Of Science (Bs), Manufacturing Engineering Technology And Supervision