Senior member of a start-up Financial Corporation that provides an onramp to digital assets through a cryptocurrency trading platform and an over-the-counter service for high value customers.• Identified multiple vendors needed to establish the initial technology platform to run the back-office and support the business • Established initial Policies and Procedures for various parts of the business • Established the go-live roll-out plan, including personnel requirements/coverage • As Head of Operations, determined necessary tools and business flow to ensure proper KYC, OFAC, and AML checking is covered at all stages of the customer on-boarding and trading cycle.

Responsible for Corporate Investment Banking (CIB) & Global Markets’ Policy and Procedures creation, and maintenance. • Implemented a defined project management process. Led the documentation and implementation of new products. Worked closely with business leads, Legal, and Compliance teams to ensure critical aspects related to regulatory, legal, risk, and control were covered and documented during implementation • Part of pilot team aiming to transition the way new projects and products are prioritized and implemented, utilizing agile methodology

Executive Director, Capital Markets Operations (3/2011 - 1/2015) Led the Risk Control effort for a Capital Markets operation with daily transactions totaling $300M Oversaw a group of 100 managers, supervisors, and staff, and managed internal audit reviews and risk processes. • Led a work process mapping program for the Division, and developed / implemented a standardized supervisory procedure check list to improve documentation and reduce operational risk• Supervised the Incident Management function for more than 100 employees. • Led monthly risk management meetings for the Department Managers and Vice Presidents to review potential risk areas and near misses and engage their support in resolving areas of potential loss• Led a year-long program to reorganize the department and reduce staff through outsourcing / offshoring. Considerations included regulatory compliance, vendor capacity and control / signoff processes. Achieved a staff reduction of 15% over two years• Led implementation and subsequent annual reviews of Capital Markets’ RCSA process (Risk Control Self-Assessment) • Designed, developed, and implemented an Operational Dashboard that facilitated the capturing and tracking of Key Risk Indicators (KRI’s), metrics, and trends for multi-level management oversight.Vice President, Operations Risk Control (9/2009 - 3/2011) Managed a newly created FLOD (First Line of Defense) team, selected vendor and on-boarded new Account Substantiation tool used to monitor and certify customer and House-account balances. • Responsible for training and implementation of monthly sign-off and certification process for a set of critical accounts previously excluded from existing process

Real Estate Investment

GS / Spear Leeds & Kellogg - VP Operatons 2002 - 2006Assigned to integrate a 35-person back office team from a newly acquired organization into Goldman’s operating systems. Led multiple departments comprised of approximately 30 individuals and was accountable for the clearance, reconciliation, and control of U.S. domestic securities settlement.• Successfully re-engineered support- and control systems, and upgraded talent while keeping up-to-date with new regulatory requirements • Designed and implemented an Access Database reporting system to monitor all trading activity and maintain controls. The system became a key reporting tool used by several departments / divisions supporting a variety of reporting needs• Developed procedure manual and a comprehensive Disaster Recovery Plan, which decreased dependency on key personnel and mitigated risk • Designed new systems and support tools to meet new regulatory requirements related to Short Selling, and actively defended the accuracy of the Company’s process and interpretation of rules during NYSE/SEC audits • Successfully initiated and led a plan to cut costs by outsourcing multiple functions to team in Hyderabad, India, while ensuring compliance with US regulations and processesGS Japan Corp (Tokyo) - VP Wealth Mgmt./Asset Serv.1998 - 2002Managed the daily operations of four departments comprised of approximately 30 Japanese locals, accountable for the clearance and control of Japanese domestic and international customer settlements, and their respective Asset Servicing. • Responsible for performance and salary management, budgeting, project management oversight, disaster recovery planning, and recruiting• Led several large re-engineering projects aimed at integrating Goldman Sachs Japan’s infrastructure onto Goldman Sachs’s Global platform Goldman Sachs & Co., NY - Manager 1986 - 1998