Kate Goodman Email and Phone Number

• Helped to define and drive data governance strategy and framework for global IED, which included internal data solutions, client strategy, and controls, with IED Management• Evaluated all external and internal requests for IED and Research datasets• Lead global entitlements strategy for IED, which included managing entitlement initiatives and projects related to transfers, vendors, and segregation of duties• Acted as an escalation point for entitlements approvals and reviews of applications owned by IED• Coordinated the responses to client requests for information across IED Senior Management, desk heads and SME's• Created a framework for managing the client request for information process to gain efficiencies

• Manage team that ensures that sales and trading activities comply with rules and regulations governing the firm, and adhere to internal policies and standards, including best execution, reg SHO and market manipulation• Monitor information security platform, which includes data leakage, entitlements and information barriers• Supervise three junior team members; focus on their career development and quality assurance on their daily reviews of trading activity • Liaise with Head of Institutional Equities, Head of Equities Distribution, and Head of Prime Brokerage and Fund Services to understand staffing changes and discuss behaviors requiring investigation and surveillance issues• Escalate issues to Sales and Trading supervisors in a timely manner, and provide solutions to issues outside of risk management by leveraging and troubleshoot issues raised by Sales and Trading• Partner with Compliance and Technology Departments to implement new reviews, including creating new reports and writing procedures, due to updates to rules governing the firm• Lead projects around improving exception monitoring and documentation process for supervisory platform• Provide documentation to regulators for inquiries, and develop and implement solutions to any gaps identified with Compliance, Technology and Sales and Trading supervisorsKey Achievements• Chosen for rare move from back to front office based upon visibility with Equities Risk leadership; passed three licensing exams in only four months to enable transition• Tapped for cross-divisional program for high potential/high performing women VPs to further develop and retain women leaders• Instituted significant improvement in trade review process by working with Technology partners and Equities desk to streamline data output and better highlight possible malfeasance. The revised method was later adopted by Fixed Income as a “best in class” process

• Managed teams that provided middle and back office project support for equity trade processing and oversaw the small projects and enchantments queue to prioritize and complete ad hoc requests from Operations, Finance, Compliance, IT and the Business Unit• Collaborated with team members and stakeholders to support budgeted change the bank projects, including broker dealer clearing, ETF and derivative automation, and moving processes off mainframe onto renovated platforms, by performing process analysis, requirements documentation, testing and deployment• Oversaw deliverables and career development of three FT employees and two Capco consultants• Delivered monthly reporting and project status updates to stakeholders and senior management, highlighting accomplishments and risks to ensure transparency

• Managed teams that supported Core, Programs, ETF and MSET desks• Provided daily reconciliation, trade booking, exception management, and query resolution• Worked closely with the desks, project teams, and IT to implement new STP initiatives that allowed firm to support new businesses or expand existing businesses• Oversaw captive team in Mumbai and served as an escalation point on all issues and risks, as well as monitoring their level of support• Led the onshore PNS street reconciliation team, as well as their offshore team at a vendor in India• Monitored and provided reporting and commentary to senior management around trade volumes, cancel corrects and manual trade bookings

• Managed and prioritized the small projects and enhancements queue with stakeholders that included Equity Operations, Finance, Compliance, IT and the Business Unit• Executed small projects, which took under six weeks for completion, working closely with IT to develop, test, and sign off

• Advanced New York Energy Middle Office’s strategic STP initiatives by creating business requirements documentation and testing planso Reengineered the Sales Trade booking process to decrease Middle Office’s roleo Automated the early termination process in order to decrease the possibility of manual errors and automated the creation of back to back trades to ensure that risk was in the correct internal entityo Prepared Lehman’s systems to take on new businesses, which included new products as well as trades executed through a newly acquired firm

• Managed team that provided daily support to all New York users in the Trades Completion application - users included the trade support groups and client support groups in New York• Prioritized and solved underlying system issues that impacted the end users with IT counterparts• Tested development work and upgrades completed by IT before changes were migrated to production• Trained all end users in the Trades Completion application