Proven leader who thrives in fast paced and uncertain environments. Successful at building new departments and developing high performance teams. Skilled at mitigating risk by designing effective controls and processes. Extensive experience in large scale and ad - hoc data analysis efforts.
- Regulatory Reporting
- Advanced Data Analysis (Excel & SQL)
- Risk Management
- Masters in Business Administration
- People Management
- Process Improvement
- Sarbanes-Oxley (SOX)
- Series 7, 24, and 66 Licenses
Assistant Vice President
- Created new processes for performing SEC rule 17a-13 Quarterly Securities Counts to reconcile $509 Billion in client securities with depositories, transfer agents, and product sponsors.
- Developed new Key Indicator Operational Report to allow additional Financial Industry Regulatory Authority ( Confidential ) oversight during the onboarding of $120 billion assets under management following the National Planning Holdings acquisition.
- Overhauled SEC Form 13F reporting of $26 Billion in Institutional Investments through improving the methodology for generating raw data and performing data analysis.
- Oversaw the remediation of a SOX control deficiency on the SEC Rule 15c3-1 Net Capital computation.
- Improved process for suspense account reconciliation to provide the Controller with non-allowable assets and net capital deductions.
Assistant Vice President
- Helped reduce SOX audit exceptions by 68% and SSAE deficiencies by 88%.
- Led the STO preparations for the new SEC rule 17a-5 and FICCA (Financial Intermediary Controls and Compliance Assessment) audits.
- Created new data analysis methodologies to support remediation efforts, assist on regulatory initiatives, and improve fraud prevention.
- Led project to prepare STO for new Sarbanes-Oxley (SOX) requirements regarding the underlying data used to perform controls.
- Was asked to start the new Operations Risk Management team based upon the success of this project.
- Performed data analysis on 150 million trades to identify and correct potential issues with transaction coding.
- Created highly successful team that achieved top Advisor Satisfaction Scores.
- Designed new methodology for tracking 2.5 million calls per year.
- Analyzed call drivers to determine training and efficiency opportunities.
- Provided email and phone assistance to Financial Advisors.
- Leader in call quality and productivity.
- Confidential provided mortgages, personal loans, and 12 months same as cash contracts.
- Tripled retail contracts purchased per month, increased total loan dollars outstanding by 50%, and top 10 in division for profitability (out of 70+ branches).
- Selected twice to attend national conference for top performing managers.
- Processed loans, performed collections, and assisted in business development efforts.