Thomas Gooley Email & Phone Number

San Diego , Ca, Us

Lead and direct a well-integrated organization comprised of trading, operations, client service, technology, data, and enterprise program management functions to collectively serve the independent financial advisors, banks and credit unions of Cetera Financial Advisors.Responsible for the strategies, performance, and initiatives of the major operational groups which, in aggregate, will enable the realization of Cetera’s Operating Leverage strategy. This includes leading the transformation and driving the transition to a seamless, simple, scalable, highly digitized operational / transactional infrastructure that dramatically decreases cost-to-serve across all client segments. Build on the service excellence established by Cetera to facilitate best-in-class client acquisition experiences and industry-leading levels of customer loyalty and retention.Serve on the firms Management Committee.

Montreal, Quebec, Ca

Chair of the Finance Sub Committee

Concord, Massachusetts, Us

Responsible for leading the Service, Trading, and Operations organizations to enable 14,000 independent financial advisors and more than 700 banks and credit unions to provide financial advice to their clients. Responsibilities included mitigating risk, increasing efficiency, and improving the client experience at LPL. Service, Trading and Operations was the largest LPL Financial business unit, with more than 1,700 employees in Boston, Charlotte, San Diego and India. Additional responsibility included driving the governance, strategy and execution of the LPL Financial’s business process outsourcing activities in India. Served on the Management Committee, the Capital Allocation Committee and the Risk and Operations Committee

New York, Ny, Us

Maintain risk management oversight for Retirement & Individual Financial Services division (R&I) of TIAA CREF. This includes the Individual Advisory Services, the Individual and Institutional businesses – including TIAA-CREF Trust Company, Federal Savings Bank (“TIAA-FSB”) and TIAA Direct, R&I Business Transformation, R&I Operations, R&I Technology and TC Life. Drive the risk management strategy and framework for the R&I division to enable the execution of its business goals while overseeing risk identification, analysis, measurement and mitigation in alignment with corporate standards and prescribed risk tolerances.

New York, Ny, Us

Head of Operations, Global Wealth and Asset Management GroupsDivision provided all brokerage and banking operations support for the Wealth Management and Asset Management businesses. Wealth Management manages $1.7 trillion in assets, 6.4 million active customer accounts and 15,000 Financial Advisors. Asset Management has $330 billion AUM.• Led Global Wealth and Investment Management Operations with full responsibility for the daily execution of all Operations functions. Managed 3,500 people (employees and vendors) in 42 global locations and a $510 million budget. • Defined and implemented vision and strategy for Wealth and Investment Management Operations from a people, infrastructure, controls, product and shareholder perspective. Motivated team to perform at an optimal level, coordinated technology and operations resources to achieve tactical as well as strategic goals while ensuring that the organization remained flexible to accommodate changes in the market or business priorities.• Revitalized the control program providing transparency on risks within the organization; developed a Production Stability Committee, established a Pricing Steering Committee, created daily, weekly and monthly risk reports and an Integrated Release Testing program (a front to back program in support of large technology releases).• Established a division-wide Talent Management program including a High Potential program, promotion committees, team building events, speaker series and charity events.• Successfully co-led the project to convert the Smith Barney and Private Wealth Management positions and accounts onto the Morgan Stanley retail platform - the largest conversion of its kind in the industry to date. All corporate and publicly announced milestones were met on target and on budget. Scale: 6.6 million accounts, 47 million security and cash positions worth over $910 billion, 750 million historical transactions and 2 billion historical documents were converted.

Charlotte, Nc, Us

Global Head of Equities and Futures OperationsDivision provided all brokerage operations support for the Equity, Prime Broker and Futures businesses within the Global Capital Markets Group.• Effectively led the Equities and Futures Operations team with full responsibility for the daily execution of all Operations functions as well as setting the strategy and vision for the group from a people, infrastructure, controls and product perspective. Managed 300 people (employees and vendors) in 7 locations globally and a $65 million budget.

New York, New York, Us

Vice President / Group Manager, Equities Middle Office • Supported Equity business in Account Documentation, Trade Booking, Fail Management, Syndicates, Regulatory Control, and Project Infrastructure with teams in New York, Chicago, New Jersey and India. Products supported: US and International Shares, Listed Options, Convertibles and Program Trading. Total number of people managed ranged from 80 to 120.• Successfully established an operations team to support the Prime Broker business across all products. Functions transferred from the business included: account opening, pre-matching trades, trade amendments, fail management, journal processing, third party payment verification, margin and reconciliations. Outstanding fails were reduced by 30% and fail age by 20%.Vice President / Group Manager, Equities Core Operations • Managed Operations departments supporting the Equities business including: US Shares Trade Support, Listed Options, Hull Specialist Trading, OTC Derivatives, Syndicates, US Equity Settlements and Physical Securities. Manager, Corporate Actions• Managed 15 people in Reorg, Proxy, Class Action, and Security Coding functions for the Firm

Analyzed the European telecommunications market and advised companies on market entry strategies, competitor analysis and growth trends as well as researched, edited, and updated annual Central and Eastern European Media and Telecommunications Report.

Developed and implemented information systems to simplify administrative operations and to facilitate the completion of government contracts as part of a three person team. The project resulted in a 75% time saving in completing government contracts.

Streamlined operations, including multiple sales tracking program, by eliminating non value-added tasks and developing cost saving methods.

Developed training material and conducted training sessions on leadership, management and operations skills at over 50 conferences in the United States, Canada and Europe. Groups in these sessions included participants from up to 70 different countries and ranged in size from 10 to 500 people.Managed the student exchange program, developed the regional marketing plan and coordinated the training and intra regional activities of approximately 600 people in the 17 Western U.S. local offices.

Master Of Business Administration (Mba), Finance And Strategic Management

Ba, Political Science And Economics

Education record