Built Prime Brokerage Operations from the ground to a global organization of over 100 professionals with teams of Middle Office / Trade Management, Custody Services, and Control.• Played a key role in efforts to reduce Prime Brokerage’s balance sheet footprint by redesigning enhanced leverage platforms and maximizing customer margin releases.• Managed the Arranged Financing process including regulatory and funding requirements and spearheaded major system re-writes related to trade processing and margin / re-hypothecation.• Co-led with Legal the walk through of FINRA’s examination of Enhanced Leverage product / Arranged Financing, satisfied 15c33 / 15a6 requirements.• Designed and built the automated settlement cash sweep from contract for difference accounts to prime brokerage custody accounts by leveraging technology to achieve significant savings in the firm’s funding and benefit the client’s margin efficiency in their prime brokerage accounts.• Oversaw the Payment Control team, migrated it to the Salt Lake City office, and restructured the team by designing and implementing the Max Payable and payment approval automation, resulting in a 50% headcount reduction.• Played a key role in the Portfolio Margin conversions during the 2008 financial crisis.• Built a Payment Team in the US and transferred payment functions from business to operations, achieving significantcost savings by migrating the team to India and Salt Lake City.• Managed the Fails Management team and restructured the service model to functional - client facing and brokerfacing. Played a leading role in transforming the team from Fails Management to Trade Management by migrating thefront-end process from business to operations.• Developed a Reconciliation team significantly, migrated multiple functions to India, and re-focused the team from exceptions processing to risk management and control.

Prime Brokerage Client Services

Prime Brokerage Client Services