Manage all facets of broker dealer operations

Tasked to rebuild, redefine and improve the local PB department which includes the development of employees, establishing procedures and the strategic implementation of initiatives to improve processes. Managed an annual payroll budget of $2.5-5 million and a global project budget of $25,000,000. Provide overall daily direction of the operations and risk management of the Prime Brokerage team Provide Senior Leadership to the broader Royal Bank of Scotland, SLC site by empowering the staff to champion diversity through participation in affinity networks, leading by example as Co-Chair of the Rainbow Network and active member of the Operations Woman's Network Senior mentor for 6 associate and analysts and more broadly, a coach for junior managers in an effort to create a sustainable leadership pipeline Created and lead a global risk & control environment to review current issues, market and volume trends and client behavior in an effort to increase overall transparency between Operations and the Business Leaders Executed two international/regional migrations of resources and functions from Singapore and Stamford (CT) to Salt Lake City resulting in a budgetary savings of 13% Manage day-to-day support activities including: headcount forecasting & budgeting, increase efficiency by developing support strategy for new/existing clients, business continuity planning, and business plan development at 1, 2, 3 & 5 year increments Daily meetings with Executive Management to provide real time updates on key risks, initiatives and overall business battle rhythm. Biweekly Executive Round table meetings to discuss the overall firm strategy and direction Maintains effective use of resources to ensure delivery of business performance while hunting for inefficiencies in systems and processes to contain or reduce costs Oversee staff training and development plans.

(Interim Role) Developed and implemented the vision for the Equity Derivative business. Through an evaluation of commercial priorities, an understanding of key risks, customer expectations and internal limitations I identified a way to create value in a business model that was rapidly losing momentum. This strategic initiative instilled a stronger risk management mindset, a greater sense of ownership and inspired long-term commitment of its employees.

Provided the strategic oversight of the Treasury Department and employees, including cost allocation to business units and the accountability for the teams’ execution for processing and managing all incoming and outgoing cash movement, monitoring transactions for compliance with legal and regulatory requirements and managing the firm’s overall cash position.

Created the company's international migration plan of resources and functions from Bangalore, India to Salt Lake City, Utah through assignment on location in India. Managed multiple teams of operational analysts, associates and vice presidents for the end to end transaction and process management for the life-cycle of FX products including; trade capture, settlement, verification, and investigations. Two business critical focal points; Risk and Control of processes and Continual Improvement in order to provide superior customer experience and business scale to GS. Day-to-day support activities included: headcount forecasting & budgeting, develop our employees, increase process efficiency, business continuity planning, and business plan development at 1, 2, 3 & 5 year increments. Significantly improved capacity to support higher trade volume surpassing 250,000 per day, constantly searching for new ways to increase automation and lower operating expenses without increasing risk to business or clients Developed Management Information System (MIS) to provide surveillance of front-to-back processes resulting in a data based decision making model Integral contributor to development of standard and global procedures as the lead for quarterly updates prior to internal audits (SOX) Increased the team’s ability to efficiently and effectively manage risk real time by developing a global workflow model with process improvements making it possible to accommodate increased responsibilities necessitated by staff reductions and business migrations Decreased manual intervention in a process by 53% yielding a time savings of 45 minutes per day allowing the team to recalibrate their focus on riskier processes and value add functions Reduced regional concentration risk, increased business continuity depth, and created a greater work-life balance for our Bangalore Counterparts

Co-lead of a group of nine Documentation Specialists serving as liaisons between clients and multiple internal touch points, to mitigate economic (PnL) risk by retrieving client OTC trade confirmations as well as resolving discrepancies for Equity based synthetic products, vanilla and exotic trade flow.  Trusted conduit to management for people issues and feedback relating to the migration, processes and procedures, client issues and metrics Identified, escalated, and managed control gap related issues and contributed to the resolutions through development of tactical solutions  Served a special assignment to transition existing Confirmation Retrievals process from New York, London & Hong Kong to Salt Lake City Strong focus on client service excellence and overall process efficiency through the development of a single point of contact model  Project manager to migrate the existing Economic Affirmation process from Hong Kong to Salt Lake City Spearheaded Client On-boarding efforts to match trades electronically therefore reducing the operational cost and risk to each organization Advised Senior Management on tactical and strategic solutions to leverage Sales and Trading teams to reduce outstanding notional risk across Delta 1, Volatility and Structured Desks Managed all Equity Prime Brokerage documentation including Client Relationship Management and held daily communication with sales, trading and operations colleagues worldwide regarding client documentation and ad hoc queries Designated SME