Based in Los Angeles, Docupace Technologies is the premier provider of secure and compliant electronic processing solutions for financial services firms and their advisors. The company created and implemented the industry's first Web-based, SEC/FINRA compliant Straight-thru-Processing (STP) platform. Driven by increased levels of competition, privacy issues, document protection and government regulation, industry-leading firms are adopting the company’s solutions in order to sustain profitability and audit-risk assurance.

Hired to construct and implement a product management discipline and help transition the firm from a small, custom development arm catering primarily to Fidelity to a scalable, product-centric model.Primary initiatives and notable accomplishments: Product Management- Conduct competitive intelligence and forensic research to construct and drive 1, 3 and 5 year product roadmap and strategies- Introduce/Develop/maintain key relationships with largest clients, vendors and partners- Developed and executed a strategic mobile/UX business plan User Experience (UX) redesign to include mobile responsive behavior Solely responsible for UX planning, vendor selection, internal and external socialization, budget, ROI model and project execution- Initiated trademarks for two branded concepts – 3TIER and TransitionQ Organizational Development- Introduced product management discipline Restructured product staff to better align responsibilities and create natural cross-training environment- Mentored direct reports as well as other staff within the organization – including senior managers- Launched QuadronEd – a program to teach and share knowledge within the organization Personally taught several classes from industry specific topics to Sharepoint tips and tricks- Implemented staff incentive plan – designed and negotiated terms with president/owner, executed, rolled out to firm

Legent was acquired by COR Securities Holdings, Inc. in Dec 2011. Brought in by new board/EVP to develop and implement strategic roadmap while managing all daily aspects of correspondent clearing brokerage firm with retail customers and ~80 correspondents. Direct reports – 6 managers, 40+ staffPrimary initiatives and accomplishments- Reorganization of Operations Restructuring of the operations model to make it scalable and efficient Support operational needs of additional trading groups – institutional fixed income, securities lending and international settlement. - Develop and implement roadmap Technology implementation - Systems productivity upgrades – desktop to enterprise upgrades- Microsoft SharePoint – communications layer and infrastructure - Document management system (paperless office, e-reports, workflow)- Plan and staff development of front-end broker workstation Staff restructure and skill augmentation Process streamline/improvement Centralize all back-office operations- Transition Settlements processing from Chicago to Omaha

Directed five divisions. Member of executive board, technology and product vision groups and strategic steering committee. Liaison between business development and product development.Reporting Divisions: - Client Services - Custom Services - Product (business analysts) - Production Support - Quality Assurance - Technical LiaisonsNotable accomplishments:Progressive responsibilities within first year- Hired at director level as liaison between business development and product development- Took over management of product group (9 staff) within 30 days of hire- Promoted to Vice President within 1 year of hire- Established Custom Services division within 1 year of hire- Became member of four-person executive committee within 1 year of hire- Founding member of Product Group and Technical Vision Group boards All proposed projects evaluated for technical viability and strategic value One of two members to sit on both boardsOrganized and formalized five divisions- Took over five divisions representing ~30% of corporate staff.- Created and managed two director level and two lead positions to support management of teams.Created Custom Services Division – Identified revenue and product development opportunity for funded engagement projects/professional services. Established custom services division with scalable model and business development process flows to incorporate new business line into existing processes. Identified $2.2 million of immediate potential revenue while creating an avenue for future income projected to be 20-30% of overall company revenue within five years.

Co-founded a premier, online financial services firm.Instrumental in completion of all regulatory requirements to become a self-clearing broker/dealerHired and mentored staff to support both front and back office operationsDesigned, implemented, and supervised operations and risk management proceduresOversaw all daily operations, compliance, and trading functionsDeveloped marketing material and customer forms - both print and write/submit onlineWrote business requirements, specifications and online contentNegotiated vendor contracts/leases Instrumental in execution of corporate headquarters relocation from Colorado to OregonGrew business from start-up to over 1,300 customers and $350m in assets

Bidwell & Company, Portland OR, Vice President Operations Jan 2003 – May 2004Responsible for all operations of national, online brokerage firm. Managed staff of 33

Managed all daily operations staff and activitiesAnalyzed, documented, and improved operational processes and designed efficienciesIdentified, coordinated, and prioritized operations projects

Led risk management team responsible for $300 million in receivables Managed staff of 11

Researched and resolved customer problems and complaints Educated staff and customers regarding margin rules and regulations

Marketed managed money services Created portfolio and tax summary statements