Denise Samson Email & Phone Number

· Responsible for strategy and execution for 5 geographically diverse teams and 600 associates responsible for account opening and maintenance, managed account inception, operations onboarding system support, non-financial regulatory reporting, individual retirement account (IRA) and decedent processing.· Leading organizational change for operational efficiency and continuous improvement· Driving a results based environment of high expectation and high accountability.· Member of Raymond James Operating Committee, ESG Committee, and Health Advisory Committee

· Led various teams and functions during this time period responsible for:· Domestic and international trade comparison and settlement for equities, options, mutual funds, and fixed income· Security master maintenance and custody of physical securities· Corporate Actions processing, vendor management for proxy and prospectus· Client confirms and statements production· Cost basis - implemented enterprise solution to comply with IRS Economic Stabilization Act of 2008· Tax reporting for all retail and retirement forms (1099s, 1042s, 990Ts)· Account Transfers – automated and manual, annuities and mutual funds; transition support for new financial advisors and their clients· Client service teams to support branch associates, financial advisors and retail clients· Mutual Fund trading and operations – trading, reconciliation, and direct mutual fund processing. Led firm conversion to mutual omnibus processing in 2009· Security reconciliation, reserve reporting, compliance with possession and control, and Reg SHO· Servicing and support of individual retirement accounts (IRAs), implementation of Secure Act 2.0· Creation of a centralized team to facilitate disbursement of assets for deceased clients and improve client and advisor experience· Served on various firm and industry committees: Raymond James Operational Risk Management Committee, Executive sponsor for Pride Inclusion Network, DTCC Wealth Management Senior Advisory Board and SIFMA Capital Markets Committee

Managed various functions and teams including:· Mutual Trading and Operations –process mutual fund trading, corrections, position reconciliation, product maintenance, special projects and support mutual fund systems. Streamlined processes and management structure (9 departments to 5), increased usage of branch order entry, implemented better controls for trading and inventory processes. Improved operational efficiency by converting mutual funds to DTCC Networking Level 3· Account Transfers and Domestic Clearance – teams responsible for settlement of manual and automated account transfers, DTCC and Fed settlements for equites, options, mutual fund, and fixed income securities. Implemented system and process changes to support industry revamp of Automated Customer Account Transfer System (ACATs) in 1999.