• Provide transversal coverage to the GLBA front office on all topics including, but not limited to, Risk, Compliance, Human Resources, Operations, IT, Legal, Audit, Facilities, and Business Continuity• Manage headcount and budget for full-time staff, consultants, interns, and VIE’s. Monitor and challenge GLBA direct expenses as well as external teams’ support staff costs• Lead the GLBA Regulatory Team in charge of Operational and Regulatory risk. Create, monitor, and ensure 100% on-time completion of all controls, trainings, regulatory licenses, Written Supervisory Procedures (WSP's), mandatory absence periods, procedure reviews, and Risk Control Self-Assessments (RCSA’s)• Supervise the GLBA Administrative Team. Monitor and approve time, travel, and expenses. Build and provide direct oversight of offshore team• Coordinate the GLBA Investment Banking Analyst Program with Human Resources• Simplify and streamline controls utilizing a risk-based approach, eliminating 'tick-the-box' exercises• Develop a new equities settlement and regulatory reporting process for our Equity Capital Markets (ECM) Group to capitalize the Societe Generale & Alliance Bernstein joint venture. Coordinate New Product Committee approval• Plan and coordinate project and software implementations including LIBOR rate replacement, Docusign, Zoom, Microsoft Teams, and Movius• Manage the GLBA KYC Pipeline. Increase the KYC completion rate of GLBA clients by over 250% while overseeing reducing KYC headcount by 25%. • Negotiate contracts and onboard with vendors and consulting firms• Precipitate culture change of Front Office to understand the roles and importance of Operations and support functions

• Manage the OTC Collateral Team (OTC, Repo, & Central Counterparty Clearing) ensuring meticulous internal risk management and exceptional client service• Build and maintain strong client relationships with multiple institutions including asset managers, hedge funds, and custodians • Lead management initiatives in process and control enhancement, systems implementation, and task automation• Negotiate cost savings of 35% ($1.1MM annually) with leading third-party custodians• Optimize Societe Generale's OTC securities collateral book’s funding costs and income potential

• Margined a daily average of 200 institutional and hedge fund portfolios consisting of equity, fixed income, interest rate, FX, and commodity trades• Reduced risk exposure by correcting and eliminating client disputes, operational inefficiencies, and outstanding breaks• Designed and automated team metrics and control reports• Performed portfolio trade and collateral reconciliations

• Researched and analyzed equities and mutual funds employing fundamental analysis, ratio analysis, macroeconomic analysis, and financial modeling techniques including standard deviation, variance, alpha, beta, and DCF analysis• Recommended equities and mutual funds to Financial Advisors and clients• Prepared and presented portfolio reviews and financial plans for clients