Patrick Barrett Email & Phone Number

New York, Ny, Us

Boston, Ma, Us

Governance lead for the crypto retail offering and a critical link between several business teams and legal, risk and compliance partners. ● Established business oversight committee to unify executive stakeholders across three business units in the review and approval of new products and capabilities, increasing transparency and alignment. ● Strengthened and simplified four operational policies and procedures for high risk areas, including business disruptions, customer complaints and service recoveries.● Oversee key operational functions to facilitate the timely resolution of breaks or issues.● Facilitate monthly executive committee meetings with stakeholders, achieving timely approvals for the launch of new products and capabilities.

Menlo Park, California, Us

Trusted advisor on the broker-dealer compliance team. ● Partnered with five product and digital engineering teams in the design, development, and deployment of several brokerage capabilities specific to equities, options, ETFs and margin.● Created and implemented a social media influencer compliance program to mitigate risks associated with the brand awareness campaign.● Influenced executive leaders in monthly Product Review & Risk Committee forums. ● Co-authored communications with the public and advised on digital marketing campaigns.● Interpreted and applied FINRA and SEC rules to brokerage products and distribution experiences.

Boston, Ma, Us

Servant leader of an agile Corporate Audit team supporting the Fidelity Institutional and Brokerage Operations business lines. ● Managed and mentored a team of five agile audit staff across three geographic locations. ● Influenced audit and business leaders in assessing business risk and deploying resources to optimize value.● Aligned and translated Audit KPIs into five concise squad goals to prioritize project deliverables.● Proactively identified and removed impediments, increasing on-time delivery by nearly 20%.● Utilized agile tools, dashboards and data driven metrics to drive progress and audit results.● Nurtured relationships with senior leadership in three business units supported by nearly 20,000 associates.● Delivered business results that mitigate risks, increased efficiencies, and reduced manual processes.

Boston, Ma, Us

Leader of governance committee responsibilities for Fidelity Brokerage Services (FBS) and Fidelity Personal & Workplace Advisers (FPWA), applying risk mitigation, compliance, and internal audit expertise to grow wealth management products and services. Led and oversaw digital engagement enhancements collaborating with the executive, compliance, field operations, and product teams. ● Developed a strategy to risk rank approximately 30 investment (securities) product categories and implemented a framework to periodically reassess the general suitability of each for retail clients.● Automated digital risk disclosures and restrictions for 7 complex investment product classes, impacting more than 5,000 individual securities and displayed to clients in nearly four million transactions annually.● Facilitated, as committee leader, the launch of new products, digital experiences and planning tools available to approximately 40 million retail customers. ● Led work streams to design and implement a new governance structure to oversee activities of FPWA.● Co-created a subcommittee of experts to evaluate methodologies supporting investment planning tools used in over 200 regional phone centers and branch offices.● Challenged the status quo while advising and educating product management on risk and compliance matters.● Grew executive presence and professional network significantly through the completion of Fidelity’s Leading for the Future Executive Leadership Development Program.

Boston, Ma, Us

Executed regulatory and operational audits of retail and institutional brokerage business units including capital markets. ● Planned, scoped and executed audits of complex broker-dealer and investment adviser products and services.● Created tailored risk assessments and audit programs to evaluate compliance with internal policies and procedures, in addition to applicable laws and SEC and FINRA regulations. ● Presented audit issues and recommendations to senior management verbally and through formal reports – including observations, business implications, and action plans designed to improve the control environment. ● Identified control gaps and opportunities to enhance registered representative supervision through annual branch office examinations.● Leveraged data analytics in 75% of audits to expand testing capabilities, identify trends and behaviors.● Recruited at Bentley and Boston University campuses and mentored junior associates.

Seattle, Wa, Us

● Executed over 250 events in which I guided potential buyers to make sound investment decisions. ● Provided insights, shared observations and suggestions, and discussed questions related to the potential real-estate investment, guiding them through the home buying process. ● Commonwealth of Massachusetts Real Estate Salesperson License #9538679● Member of the Greater Boston Association of Realtors

New York, Ny, Us

Executed regulatory (Sarbanes-Oxley Section 404), compliance and operational audits of prominent financial services companies based in New York. Conducted client interviews, created risk assessments, executed internal controls testing and articulated results and findings orally and in written reports.

New York, New York, Us

Created new accounts and performed quality assurance reviews of fixed and variable annuity applications, newly established accounts, and account transactions, including 1035 exchanges. Engaged with customer service requests and needs during peak volumes. Obtained the FINRA Series 6 and 63 licenses.