Tom Dolan Email & Phone Number

United States

Served as Deputy Regional Head for the Americas New Business team ensuring consistent application of the Department’s policy, procedures and products across Divisions and jurisdictions. Coordinated Departmental responses in connection with local regulatory exams/reviews including for FINRA, FED, SEC, NYDFS. Developed the New Business Department’s global procedures document in response to regulatory feedback.Departmental lead covering the Asset Management and Global Equities businesses, key Regional offices in Brazil, Mexico, Canada as well as strategic Corporate Development transactions assisting business sponsors to evaluate business/product proposals, develop related business case and identify optimal structures including from legal, tax, accounting, capital, risk management, corporate governance and operational efficiency purposes.Delivered ~15+ strategic projects per annum including the following highlighted initiatives: * $425 million acquisition of a non-controlling equity stake in a global asset manager * $130 million sale of an internal private equity business * $140 million sale of an internal customized fund business * $300 million across the acquisition of strategic interests in 3 different asset managers in Brazil * Implementation of the Firm’s 1st global private credit fund * Creation of a US broker dealer entity to provide onshore US short-side financing to Equities clients * Participation on an industry blockchain-based post-trade settlement platform

New York, United States

Relationship Manager covering the Fixed Income and Equities business in North, Central and South America responsible for coordinating the development and delivery of new products. Served as an advisor and partner to senior business and support area management across Front Office, Chief Risk Office, Chief Financial Office, Legal, Compliance, IT, HR and Regional Management functions to enable delivery of new revenue streams in an efficient and controlled manner. Assisted business sponsors with preparation of business plans as well as associated product structuring and cost benefit analyses in order to prioritize initiatives competing for resourcing.Identified, mobilized and managed cross-departmental working groups to identify the most efficient offering structures as well as develop business processing solutions from trade capture through settlement, risk management, accounting and reporting to support new product offerings.Delivered over 60 strategic projects including key initiatives for the Equities, Fixed Income, Investment Banking and Private Banking business lines to diversify the businesses and open new income streams. Key project deliveries included: * $660m acquisition and integration of Hedging Griffo in Brazil * Expansion of Mexican product offerings to deliver ~$35m per annum in incremental revenue * Expansion of additional Canadian and Latin American product offerings to generate ~$50m in incremental revenues per annum * Implementation of Proprietary Arbitrage strategies to deliver ~$20m in incremental revenues * Internal restructuring of the Firm’s Bahamian legal entities to deliver ~$1m per annum in tax efficiencies

New York, United States

Managed a team of Business Analysts responsible for assessing business processes as well as optimization analyses for all of the Firm’s Americas based operations resulting in delivery of ~200 business risk management and recovery plans covering ~9000 staff. Coordinated Analysts’ activities to ensure business analysis including critical process and dependency identification as well as requirements assessment was conducted, managed, documented and reported in a consistent fashion across each of the Firm’s product lines.Served as a trusted advisor to members of the Firm’s Executive Board and Operating Committees to highlight identified risks, proposed mitigation solutions, associated costs and benefits to deploy remediation strategies for front, back and middle office business units.Liaised with global counterparts to deliver key strategic initiatives including Global Governance Framework as well as overhaul of Global Departmental Policy and Processes.Represented the Firm as a member of key external industry organizations including the Securities Industry Association and the Bond Market Association.

New York, United States

Examined front-to-back process flows for Equities and Fixed Income products to measure risks related to transaction volume, capital adequacy, revenue, reputation and regulatory obligations. Assessed critical systems and associated technologies necessary to maintain business processing from front office trade generation through back office risk management, settlement, accounting and reporting. Liaised with business COOs and senior trading staff to develop business recovery strategies as well as over 50 specific plans covering ~2000 staff.Co-authored the Firm’s industry position paper including assessment of cross-regional trading alternatives for submission to federal regulatory agencies.

New York, United States

Served as a senior business analyst responsible for development and implementation of business continuity strategies for the Firm’s Finance, Administration and Operations business units including the development of over 100 covering ~500 staff. Analyzed critical back office settlement and funding processes. Managed deployment of related recovery infrastructure.Assisted in coordination of the Firm’s recovery efforts in response to the events of September 11th, 2001 including mobilization of Incident Management teams and command centers, coordination of daily crisis management meetings and identification of key staff, processes and recovery provisions.

Served as engagement manager on numerous large projects for global investment and insurance firms coordinating the efforts and efficiency of multiple consultants project budgets and associated resources. Developed management reporting and presentations to convey continuity program strengths, weaknesses, successes and failures as well as solicit and maintain requisite executive support. Coordinated test programs and exercises for clients including objectives identification, test scheduling, monitoring, reporting and logistics management.

New York City Metropolitan Area

Managed and developed effective communications strategies for political and business clients including Fortune 500 Corporations, municipal unions, hospitals, elected officials and entertainment companies. Authored Op/Eds, Letters to the Editor, client statements, press releases and additional materials to promote clients’ images and agendas. Acted as liaison, facilitating communications between clients and New York City Council, as well as city and state agencies.

New York City Metropolitan Area

Served as a consultant assisting in development, implementation and testing of business continuity and risk management solutions for a variety of clients. Coordinated and facilitated scenario workshops and training exercises for senior management and key staff to test and validate contingency assumptions, strategies and solutions.