Joel Beck Email & Phone Number

Greenwich, Ct

New York, Ny

Hired by founder/CEO in early stage start-up to build the business: development of operating model, implement organizational processes, tactical resource allocation, strategic business planning, investor and client relationship management, team leadership, comprehensive regulatory, compliance and supervisory responsibilities, talent recruitment development & performance management.• Member of Executive Committee, guiding company strategic directives, resource allocation, financial analysis and budgeting, business and operating logistics, talent management• Collaborate with business development staff to analyze and assess revenue opportunities across product spectrum. • Manage core business logistics: IT infrastructure, HR, 3rd party and vendor relationships, real estate, data• Manage client support/Ops team; including design, implementation of custom business unit MIS, controls and client support services • Managed logistics for 2 direct private placements (Reg D) for the company • Built and managed company’s investment management infrastructure, commitments, spend, deployment for custom reporting solutions, CRM, BCP and cyber security protocols• Developed and implemented company’s compliance/code of ethics manual, interact with FINRA CRD/IARD registration and filings

New York, Ny

Managed Int’l Equities salestrading & trading team (staff of 40) servicing US time-zone clients transacting in non-US issuer securities. Charged with leveraging leading global equities platform into US domestic institutional client base. Responsible for all aspects of CRM, agency & risk trading, global market structure, developing new business initiatives, business analysis and strategic planning for revenue, net income and market-share growth. • Led comprehensive client reviews & analysis• Developed customized MIS for effective review of complex global business structure• Negotiated and coordinated cross-border and cross-product global resource allocation and related cost/benefit decisions• Senior risk manager for US time-zone Int’l and cross border client cash equity risk• New business integration: handled logistics, regulatory, trade process and technology, internal and external branding • Managed comprehensive HR oversight – recruiting, hiring, training, objective setting, performance reviews, compensation• Worked closely with HR, Legal, Compliance and Regulatory Control in all aspects of business; helped formulate written supervisory procedures, reporting systems, KYC and new client onboarding, frequent speaker/panelist for lecture series on “building a compliance culture”• Member – US Client Committee, Global Cash Management Committee, U.S. Equities Business Committee, UBS Undergraduate Development Committee, Chairman - Gender Diversity Committee• Extensive global travel and senior client relationship management

Stamford, Ct

Managed team (staff of 60) located in in 7 cities and 2 countries in all aspects of client facing high-touch cash equities salestrading and commission management functions. Primary objectives included maximizing revenue generation for US product from global client base, cross sell and drive usage rates of UBS electronic execution platform, accelerate adoption of client commission agreements (CCA/CSA), pitch for prime brokerage mandates and balances. • Coordinated client facing sales execution effort, account targets, budgets, account coverage logistics and alignment with advisory resource allocation • Comprehensive broker/client reviews & analysis, revenue opportunity evaluation, developed bespoke qualitative and quantitative MIS• Worked closely with risk managers to optimize use of client facilitation capital• Supervisory responsibilities pursuant to FINRA Series 24 General Securities Principal and Series 9 & 10 General Securities Sales Supervisor• Managed comprehensive HR oversight – recruiting, hiring, training, objective setting, performance reviews, compensation• Member – US Client Committee, U.S. Equities Business Committee, UBS Undergraduate Development Committee, senior presenter at internal leadership programs (ASCENT), new line-managers

New York, Ny

Managed NYSE execution and support team (staff of 36). Responsible for NYSE floor execution quality and service for UBS Institutional and Wealth Management clients. Charged with transition of legacy team and processes into automated “Hybrid Market” environment. • Modified staff execution skill-set in the face of rapidly evolving market structure and client execution dynamics • Significantly consolidated floor resources and cost structure by employing logistics, identifying efficiencies and eradicating legacy systems• Led proactive re-branding effort of UBS floor brokerage expertise to internal and external clients through education and live floor based mock-trading events and road-shows• Charged with all supervisory, HR, and regulatory responsibilities• Member - NYSE (ETAC) Exchange Traders Advisory Committee

Stamford, Ct

Managed 5 institutional block traders specializing in Software/IT Service/Media sectors. Provided daily sector trading content and advice, risk facilitation capital, risk management and hedging, daily client interaction, research and analysis.• Analyzed revenue opportunities using client, securities and market data characteristics • Innovated client solicitation process by automating messaging technology • Leader & Developer - UBS Mentoring Committee, Member – UBS Undergraduate Development Committee

Stamford, Ct

Supervised 12 institutional block traders executing international equities and ADRs. Responsible for risk management, client interaction, desk principal supervisory and related regulatory & compliance oversight. Formulated desk business plan, revenue and budgeting, complete business and market analysis. Frequent international and domestic travel for intra-company and client relationship management. • Created automated ADR pricing & arbitrage model• Specialized in Pan-Asian and Emerging markets• Top producer and senior leader of top ranked international team• Member – UBS Undergraduate Development Committee

New York, Ny

Led team of OTC market makers charged with establishing consistent market presence and trading support for primary and secondary capital market transactions.• Responsible for managing desk risk• Worked closely with capital markets team during transaction book build and account allocation• Provided frequent market commentary and individual stock color as desk’s primary point of contact to corporate issuers • Recipient of SG Warburg Innovation Award