Rick Lanigan Email & Phone Number

Boston, Ma, Us

Responsible for the oversight of US and Offshore Contact Center servicing John Hancock agents and clients. Staff includes Management, Quality, and Specialty groups. Led projects to roll out new technology to improve client service including Amazon Web Services (AWS), Salesforce, and Medallia. Partner with Product and Operations to develop new offerings and delivery models to enhance client experience. Responsible for all audit related activities for client services.

Boston, Ma, Us

Responsible for the Brokerage Operations, Trading and Brokerage Services groups which provide support for the Signator Advisor base and their clients. Includes handling escalated issues that require special attention. - Oversight of all business on the Fidelity and Pershing clearing platforms. (Retail and Managed)- Responsible for all internal and regulatory audits on the BD platform. - Act in relationship management capacity for Signator Advisors and Managing Partners.- Assist recruiting effort for new advisors as a subject matter expert.- Lead all conversion activity on clearing firm platforms.- Represent Signator Operations at advisor and industry conferences.- Member of Fidelity Clearing Steering Committee.- Work closely with Product team to review product offerings and ensure that all operational impacts are considered.- Serve on Senior Task Force Committee to ensure the protection of our elderly client base.

New York, Ny, Us

Member of the MMC Securities Board of Directors representing Mercer Securities. Responsible for the oversight and development of all broker/dealer and investment advisory activity within Mercer Securities. Worked closely with Compliance on annual risk assesment and mitigation procedures. Acted as main business point of contact for all regulatory audits.Selected by senior management to review business model for Defined Contribution and Brokerage business targeting cost savings and regulatory oversight. Review led to a restructuring of the DC business and a sale of the Brokerage business. Oversaw the conversion of the DC business from a broker/dealer model to a trust bank model. Directed the sale and conversion of the brokerage business to the new provider. Annual cost savings ~$4M.

New York, Ny, Us

Responsible for Mercer Securities Brokerage, Retirement and Distribution Services, and Employee Education. Played leadership role in the sale of the broker/dealer business and the subsequent conversion of the business to the acquiring BD.- Oversight and management responsibilities for the retail sales and brokerage operation functions supporting Mercer's Retirement business.- P&L and budget responsibility for Mercer Wealth Solutions.- FINRA Supervisory Principal for all broker/dealer business both retail and institutional.- Negotiate and endorse all contracts pertaining to the broker/dealer business.- Member of senior product team responsible for the discovery, review, and final approval of retirement product offerings.- Partner closely with plan sponsors and relationship management team to ensure that all projects are communicated and delivered as expected. Also serve as escalation point for all plan sponsor concerns and escalations regarding the brokerage platform.

New York, Ny, Us

Directed the conversion of the retail brokerage from Putnam Investments as well as the self directed 401K brokerage from Harris Direct to Mercer Securities.- Developed working relationships with department leaders at our clearing firm, Pershing.- Represent brokerage unit both internally to senior management and externally to plan sponsor clients.- Developed Retirement Specialist team to assist terminated participants and drive growth of the retail brokerage business.- Managed all Supervisory Principal responsibilities including working directly with regulators during audit examinations.

Boston, Massachusetts, Us

Recruited to develop a new brokerage business at Putnam. - Managed all areas of risk associated with the business including trade disputes, best execution, and option review. - Acted as Supervisory Principal, Options Principal, and Municipal Securities Principal for all trading and operations activities.- Developed and implemented staffing models and quality goals for the brokerage business.

Boston, Ma, Us

Managed a team of traders working with Fidelity's most sophisticated and active clients.- Responsible for risk management, regulatory compliance, and adherence to Fidelity's policies and procedures.- Knowledgeable on margin requirements and options strategies to help mitigate risk for both the clients and the firm.- Held roles with Fidelity Premium Services and Fidelity Brokerage as well during tenure with the firm.