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.

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.

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.

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.
• 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.
• 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.
• 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.
• 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.

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.

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.
• 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.
• 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..
• 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.

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

Ba, Political Science And Economics

Education record