After spinoff from Lehman and private reorganization, recruited to stabilize business operations and implement change management for future revenue growth and profitabilityManaged a team of 5 individuals responsible for servicing the Intermediary Sales department in four verticals: dual contract, institutional, sub-advised, and private wealth distribution channelsSpearheaded new process and procedure to create a specialized and efficient platform for our internal and external partners and clients, including development of Neuberger’s first workflow application that allowed correspondence to be logged as an actionable service request for execution, tracking, audit, and improved client servicePartnered with key stakeholders to institute new standards of service and improved various KPI’s centered on new account opening, money movement processing, and error reductionOperationalized procedures to maintain high quality service without adding headcount while the client base increased 27% to 3,200 accounts and $7.5B (150% increase) in AUM across 14 (133% increase) broker/bank sponsor firms and RIA’s in the span of 4 yearsCoordinated sponsor, RIA, and institutional client on-boarding, which included the organization of various teams across the firm to construct custodian operations, trading, settlement, reconciliation and other operational parametersServed as lead to bring the Guided Portfolio Solutions (GPS) product to market in 2014, partnering with Wealth Advisory and Employee Investments to on-board and service

Integral founding team member for new department within the Private Asset Management divisionEnsured compliance with client investment guideline requirements by establishing risk monitoring of the firm’s trading practicesCoordinated the on boarding and risk management processes by analyzing client investment policies and prospectuses to ensure the client’s needs and requirements could be met without issueSupervised account servicing, administration, and trade rotation/allocation to ensure compliance with regulatory requirements and internal policiesCreated operations infrastructure to support successful spin-off of Neuberger Berman from bankrupt Lehman Brothers by developing procedure to separate funds from bankruptcy proceedings

After joining Neuberger, I was asked to help build a team that provided 3rd party supervision in order to comply, adapt, and grow in new and difficult regulatory environment.