Timothy Mcnamara Email & Phone Number

New York, Ny, Us

New York, New York, Us

A technology background, leadership skills, and humor enable me to inspire people to consensus for innovation in demanding, multi-cultural, fast paced environments. Success converting strategic objectives into achievable results.My principal role is to remain current with SEC, FINRA, FinCEN, and global Regulations, Rules, and case law in order to develop project plans that marshal resources (internal and external), to deliver solutions in a timely manner. Key references: SEC’s “2024 Examination Priorities Report” and FINRA’s “2024 Regulatory Oversight Report”.I am Chair for our global AML and Proxy Voting committees, and a member of Privacy and Cybersecurity working groups. I have initiated and delivered the following solutions: a) marketing review workflow and associated disclosure libraries (2018), b) global AML/CTF practices & controls including into our trading platform, c) compliant use of LinkedIn (2020), d) protection of intellectual property by way of global Trademarks and securing of web URLs (2020), d) web archiving (2022), e) compliant use of SMS (2023). I have participated in SEC exam preparations and numerous independent audits (internal and external).

New York, New York, Us

Transfast (a global cross-border money transfer company), Manager, Global Compliance ProjectsHelped to instill an Agile SDLC discipline to project management.• Compliance Project Leadership: managed a global portfolio of over 30 projects, offshore development teams for use of Fiserv for sanctions list monitoring (OFAC, OSFI, HMT, EUCL, UN), fraud, AML, behavioral monitoring into transactional processing across lines of ecommerce business: B2B, B2P, P2P. • Implemented monetary threshold check points for transaction creation in front end ecommerce web platforms. • eCommerce web – managed SDLC for new, global, multi-language, responsive web. Coordinated efforts across: Sales, global Operations, Security/Risk, Finance/Accounting, Compliance, offshore IT for business & technical requirements. Created design/functional prototypes for UX, business rules specific to needs of global Regulators. • Document Management System – managed implementation of cloud based (SaaS) document management system to manage workflows, audit trails, digital signatures, and approvals. Hands-on with DB design, indices, metadata• Other Projects: implemented out-of-band authentication to core systems, unique client IDs, coupon campaigns, loyalty programs, regulatory updates. Rolled out Power BI for visual intelligence around transaction data.• Product Owner – managed API integration of Payment Entry Device integration (Ingenico, Verifone) with Point of Sale web for use of credit & debit cards in PCI compliant fashion in US, EU.• Project Management - Brought an Agile SDLC discipline to project management.• Digital wallets – implemented payments to digital wallets in Africa (M-Pesa) and India (bKash).

New York, Ny, Us

• UX/UI - Responsible for creating new streamlined application workflows to improve B2C prospect conversions across 21 products (charge & credit), 7 prospect journeys, co-branded relationships,on web, tablet and mobile devices.• Developed strategies with external agency (Hugh) to design new UX and functional strategies.• Optimized numerous internal (Omniture) and third party tags for improved analytics and risk controls. • Agile Product Owner – use of Rally & Confluence, wrote user stories, acceptance criteria, performed UAT and retrospective meetings.* Team member for sunsetting of JetBlue and Costco relationships.

New Brunswick, Nj, Us

• Responsible for leading global teams of internal marketers, creative agencies, IT, compliance, records managers, and vendor in the creation of a cloud based digital asset management (DAM) platform for marketing material in 20+ languages and countries.• Managed contract negotiations, SLA, SOW, timeline, budget, global onboarding & training, technology & business feature enhancements.• Brought stakeholders to consensus for creation of global access roles and extensive metadata for various content types: video, radio, TV, print; master and derivative files.• Explored US-FDA (21 CFR 11) and EU (Annex 11) regulations around electronic records & signatures for copy clearance.* Project successfully executed and moved to operations ahead of schedule.

Omaha, Ne, Us

• Partnered with internal and external: mobile, social, web, UX, and analytics innovators to provide new personalized experiences and dynamic focused content for retail brokerage clients.• Tools for exploring strategy options on multiple platforms include: client usage metrics & trends, eye-tracking studies, pilot groups, client surveys, client feedback, competitive analysis, technology innovations, industry trends, white papers.* Position changed from employee to contractor given uncertainly around Managing Director. • Developed partnerships with external platforms.

Atlanta, Ga, Us

• Responsible for successful delivery and automation of processes for firm's first Form PF and PQR filings with FINRA and CFTC/NFA.• Successfully managed cross-disciplinary teams that implemented a new vendor for Blue Sky compliance. Replaced manual efforts with automation and closed internal audit issues.• Managed project to explore vendors for visualization, analytics, and forecasting around big data. Project included NDA, RFI, RFP, demos, pilot programs, scorecards, contract negotiations, SLA.• Team member for project to explore Legal Matter Management solutions for staff of 50 attorneys and support staff.• Managed Product Development for firm's first publicly traded MLP-ETN in partnership with Barclays.

Zurich, Ch

• Formed and led Steering Committee that overcame resistance to use of SaaS solutions for expanded use of Social Media. Issues included: SaaS reqirements for protection of privacy & security issues, single sign on without exposing Active Directory, SSA 16, ISO 27001, mobile use.• Partnered with key Financial Advisors and key internal stakeholders (compliance, legal, privacy, marketing, IT, research) to expand use of Web 2.0 Advisor sites, videos, Metrics/analytics, compliance use of LinkedIn and Facebook, and mobile use cases to grow new business and deepen existing relations.• Training - Partnered with UBS University to provide training that will move Financial Advisors from being 'scared'​ to 'comfortable' with adoption. This is our greatest opportunity for success.• IntrA-Social Networking - exploring Jive as a platform to uncover knowledge experts and team building.• Team member for new client web site including a more granular entitlement system to bring site into compliance with international jurisdictional limitations.• Leading project to improve print and e-delivery of communications with clients.

Us

Worked with Heads of Research, Sales, and Trading in the planning and execution of strategic initiatives.Product Development:• Increased client satisfaction and reduced time to market by managing development of new digital publications and automation of workflows.• Redesign of web, PDF, and email products to create more consistent design/branding, UX, and digital product behaviors.• Developed separate products for: Clients, Sales, Trading, and US foreign markets on distinct platforms: web, PDF, Blackberry.• Introduced RIXML as a standard for exchange with vendors, reducing development expenses and cycles by half.Business Development:• Developed new revenue streams for Research by expanding vendor/client relations: contract negotiations, royalty platforms, and specialty feeds.• Member of CRM and IT Executive Steering Committees which set strategy objectives including: tiering of clients, automated alerts, customized feeds to clients that resulted in improved client satisfaction and interaction between clients and sales.Operations:• International - designed and managed processes, product, and content for firm’s first internationally traded companies, including: multi-currency, international regulations and disclosures.• Collaboration - Introduced and administered Sharepoint intranets which improved processes for launching coverage, training, document retention, and search. • Compliance - Implemented systems to adhere to Regulator and SOX accountability requirements. • Created and managed semi-annual performance reviews. Used visualization techniques to represent qualitative and quantitative results.• Audit of market data costs resulted in annual savings of $340K per year.• Provided ad hoc research management reports, analyst on-boarding/training, managed migration to Office ’07, Citrix, BlueMatrix Administration.

Certificate, Compliance

Paralegal Certificate, Legal Assistant/Paralegal

Mba, Finance

Master Of Science (Ms), Library & Information Science

Bba, Computers-Statistics

Master Of Business Administration - Mba, International Finance

Master Of Business Administration - Mba, Finance, General