Ryan Barker Email & Phone Number

Chicago, Illinois, United States

 COO/business manager for 40 person LRA Portfolio Management team (PMs, Analysts, Specialists)across the US, UK, Switzerland, Australia, and Hong Kong Develop and maintain key operating procedures for investment strategies, notably ESG investing Compile and present operational statistics (breaks, errors, breaches, etc.) for LRA executive committee Ensure operational readiness for new accounts during onboarding, including providing businessrequirements in client investment management agreements Manage $7M research budget encompassing vendor negotiations and cost analysis Prepare due diligence reports about DWS products and capabilities for existing and prospective clients Coordinate internal audit finding remediation covering real estate, infrastructure, and commodities Supervise composite dispersion review ahead of portfolio return reports distribution to 80+ clients Adjust benchmark weightings downstream to align with client guidelines and strategy

 Managed business control unit (2 employees) Presented venue routing statistics at monthly best execution council meeting Reconstructed equity control framework via policy and procedure re-writes Principal sign off for all outbound responses to FINRA/regulatory inquiries

 Re-engineered the process for large option position reporting, including designing surveillance tools Developed control and analysis for TRACE-eligible equity securities reducing late reports by 20% Monitored daily financial exposure ($44B notional) and directed desk threshold reallocations Completed cyclical delegated tasks (80+) on behalf of desk supervisors

 Served as product manager for US listed options cleared at the OCC System owner of OPEX: used for option expiration and break reconciliation Performed new client set up for DMA option execution Client service representative for listed custody and clearing program Presided over business continuity testing and system enhancements

 Extension of trading desks across all product lines with a focus on cost reduction Initiated client connectivity project, reducing $2 million annually in outdated vendor costs Re-routed crossing flow to the PHLX exchange, utilizing tier for a saving of $1 million The team achieved $20 million in total savings for 2015

 Responsible for clearance of listed option trades between brokers on settlement date Reconciled sales/trading execution errors and ensuing profits/losses Balanced all out trades/reversals from floor brokers post settlement Managed discrepancies between DB customer and firm bookings which minimized trading risk by 30% Booked manual trades executed by Chicago office ensuring clearance to client on trade date Worked Saturday monthly expiration to complete processing and balancing of client exercises

 Served as primary support for top two commercial paper traders Ensured settlement of commercial paper in excess of $10 billion daily Placed direct money market orders with institutional funds in excess of $20 million monthly Tracked booking and settlement of monthly mutual fund orders Developed report monitoring all trade issues for our investment grade trading desk

 Obtained Florida Life, Health, and Variable Annuity license Learned the dividend payout process of mutually held companies Networked to obtain prospective clients at a rate of 10/week Met with high wealth individuals in Palm Beach area to discuss their financial security Sold $5,000 in life insurance and long term care