Gary Holmes Email & Phone Number

New Jersey, United States

• Chief Compliance Officer Green Pier Fintech LLC
• Act as CCO of digital start-up Broker Dealer within Fidelity Investments, performing clearing and settlement services for over 80K customer accounts, including NMS Securities, Exchange Traded Funds, Options, and.
• Led two (2) FINRA Continuing Membership Applications (CMAs) for the Broker-Dealer; one (1) for approval of Options Trading (9/2023), the other for clearing and carrying correspondent Broker-Dealers (3/2024)
• Authored the Written Supervisory Procedures, 70 separate topics, and 125 Supervisory Controls for the Broker-Dealer per FINRA and SEC rules
• Oversee FINRA, SEC, DTCC, OCC, and SRO relationships for Broker-Dealer, including examinations, due diligence reviews, and regulatory inquiries
• Participate in monthly governance committees for Broker Dealer, including Business Acceptance, New Products, and Conflict of Interest

Jersey City, New Jersey

• Director - Compliance Broker Dealer (NFS)
• Acted as the Compliance Lead on a project, which successfully launched a new Fidelity Broker-Dealer explicitly designed for novice investors called PLYNK, and this new Broker-Dealer currently has 100K+ customer accounts
• Served as the primary broker-dealer compliance contact for Anti-Money Laundering and OFAC training administered to 600+ employees, which included Flags and Suspicious Activity training
• Provided NFS Broker-Dealer compliance oversight for functions of 75+ employees within Mutual Funds, Purchase and Sales, Options, Market Risk, and Prospectus Delivery departments
• Created Registration and Licensing Policy for business and technology groups operating within the AGILE methodology framework for 400+ employeesDirector - Compliance Transfer Agency and Broker-Dealer, National.
• Led the NFS Transfer Agent 38a-1 Program, a sub-TA for Fidelity investments, which included over 20M accounts across Fidelity Retail and Registered Investment Advisor platforms

Greater New York City Area

• Director - Mutual Fund Order Room and Security Master
• Supervised Fidelity’s NSCC Trading Department and Security Master team that supports Fidelity’s ‘Funds Network platform, which has over 600 fund relationships with $2T in assets
• Partnered with Risk, Legal, and Compliance to design and implement mutual fund regulatory projects such as Load Waiver, Omnibus Redemption Fee Remittance, NSCC Social Code mapping, Fund Prospectus, and Rule 22c-2
• Managed product analysis and trade support of the SunGard initiative, which converted $60B of mutual fund assets across 19 tranches of trust business conversions onto Fidelity’s brokerage platform

• During a three (3) year period, the team analyzed 28K cusips and added 30 new mutual fund families to the platform, which resulted in $64.5B in converted assets
• Collaborated with Compliance and Legal departments to prepare findings on critical industry issues such as Market Timing and 4 p.m. Hard Close
• Developed Rights of Accumulation/Letter of Intent System per NASD/FINRA guidelines

• Delivered Mutual Fund information for 15K individual mutual funds to Fidelity's web-based trading platforms, notably Fidelity.com, Streetscape, and Wealth Central
• Utilized vendors such as Broadridge, Morningstar, and New River to provide industry updates and current fund prospectus information for Fidelity’s distribution channels
• Created a web-based workflow that outperformed the department’s previous mainframe process and improved efficiency, enabling the department to manage an increase in volume of 35%

• Oversaw error account reconciliation and profit and loss reporting for Fidelity.com retail channel and 300 Registered Investment Advisors