Responsibilities include all manner of Capital Markets functions. These include trade execution and oversight as well as the implementation of the operational framework. Additionally, sales and marketing via the Business Development channel.

Developed Dallas-based company’s presence in new markets, New York, New Jersey, Pennsylvania, and New England, resulting in $1MM+ a month in alternative investments, more than any of the prior regional VPs have raised for this region. Created and executed a process to grow sales by generating a large amount of leads with minimal resources using mail merge on financial advisors and RIAs. Presented to more than 20 financial advisors/RIAs per week and put together quarterly portfolio manager trainings to generate interest and identify high-value/probability opportunities. Partnered with target advisors and their clients to raise capital by servicing and providing information on clients’ invested assets, presenting business building ideas, as well as educating and supporting advisors and their clients with specialty alternative investment and asset management solutions.

Responsible for trading, underwriting ($1B), pricing, managing inventory, and marketing municipal bonds to retail and institution clients. Implemented email marketing tool and used to analyze client interest, target of high probability clients, and increase conversion rates. Cultivated strong relationships with other brokers to facilitate trades and clients by providing original insight on market conditions, trading flow, new deal pricing and technical analysis impacting market valuations.

Led the field retailer development and installation team for ShareRewards, the Lexington Herald’s loyalty program, the first of its kind for the newspaper industry. Responsible for retailer acquisition, program education, & program set-up.

Provided personal service to consumer customers through account maintenance, product origination and referral to specialists. Originated checking accounts, savings accounts, loans, lines of credit, and investment/insurance products.

Supported day-to-day trading desk activities, trade and P&L reconciliation, risk management reporting, and maintenance of the electronic trade blotter. Covered High Yield Bonds, High Grade Bonds, High Yield Credit Default Swaps, High Grade Credit Default Swaps, and Credit Default Indexes products. Executed SPY trades. Managed the implementation of Murex, a front-to-back-risk platform, leading to more efficient processing of trades.

Generate daily and monthly P&L, sensitivities, and stress testing for various books utilizing offline models and multiple risk management systems. Substantiate P&L results, explains, and positions for front office review. Compile risk reporting and associated analysis for presentation to Front Office and Senior management. Work with FO & Structurers to analyze, assess and review the risks of a new deal. Handle ad-hoc requests by Risk Managers & Traders such as portfolio review, rating, and/or spread updates. Manage Projects related to improving current processes and infrastructure. Responsible for trade entry.

Supported European equity trading desk from front-end, entry, to back-end, settlement, which included confirming trades via electronic systems. Managed the prospective client relationship from initial contact to the on-boarding process. Verified that all trades were complete and accurate. Prepared P&L for equity trading desk. Set up and coordinated roadshows for company officers to meet investors.