Raymond N. Catone Email & Phone Number

Fort Lauderdale, FL, US

Fort Lauderdale, Florida

• As a Chief Compliance Officer, I supervise and manage overall operations of the startup and steer efforts to run the business efficiently. I plan and conduct detail analysis to implement business plan and execute best.
• Planned, designed, and improved best practice finance and governance structure, ensuring institutional integrity and safeguard client investments.
• Significantly increased client experience by offering new and potential business development opportunities.
• Opened a new broker dealer by adding two new product capabilities in 2019.

Fort Lauderdale, Florida

• As a Managing Director, I collaborate with the President to effectively manage routine operations, including finance, compliance, and the execution of the strategy. I oversee and manage activities towards development.
• Increased revenues up to 38% in 2019 by adding new product capabilities.
• Successfully minimized expenses by 20% through renegotiation of contracts and workflow optimization.
• Developed innovative solutions for High Net Worth clients by introducing a critical new business line.

Miami, Florid

• As a Senior Vice President, I oversaw company’s high net worth investments business of 24 wealth managers and managed over $3B in NRA client assets. During this tenure, I revamped bank compliance culture to ensure.
• Boosted revenues and surpassed goal of $21M despite heavy regulatory restrictions imposed by the OCC.
• Enhanced the service model and adopted philosophy focusing on more client centric goals-based planning.

Miami, Florida

• During this employment period, I served as a senior vice president focusing on bringing innovation to optimize operating platform. I steered efforts to streamline all operations in order to manage 13 work streams with.
• Contributed to planning, development, and project management activities to adopt the global product and process standards to $23B AUM business with 300 Advisors.
• Attained greater standardization and long-term cost savings of over $1M p.a. through implementing two projects beyond the standard global projects.
• Supervised renegotiation with Pershing and realized accumulated savings of $500k annually.

Miami, Florida

• At CITIBANK, I was selected by top management to lead entire investment operations team for two broker dealers. During this employment period, I designed and developed key performance metrics for operations team and.
• Headed strategic planning activities aiming to enhance operational efficiency as well as implemented an automated trading solution for $20M revenue fixed income product.
• Directed and supported a team of 33 operations professionals for $14B AUM investments business in Puerto Rico, ensuring smooth and efficient running of operations.

Miami, Florida

• During this period, I administered high net worth sales force of 12 advisors with $1B AUM. Utilizing relationship building skills, I coordinated with Pershing, Bloomberg, and internal Citi units to guarantee maximum.
• Revamped structure to focus more on revenue generating ideas by decreasing administrative tasks.
• Recruited and selected experienced staff and delivered training to meet sales and efficiency goals.

Miami, Florida

Miami, Florida

New York, New York

New York, New York

New York, New York

New York, New York

Bba, Management

Certificate In Financial Planning

Certificate In Asset Managment