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Consultant Resume

New York, NY

PROFESSIONAL PROFILE:

  • Entrepreneurial 30+ year financial services career in Asset Management, Banking and Fiduciary Services
  • Demonstrated expertise in accounting, compliance, operations, strategy, marketing and ongoing management with strong risk assessment skills developed in an Confidential, banking and institutional portfolio management setting
  • Extensive financial analysis and operational risk assessment within asset management operations
  • Leadership in both executive and non - executive roles developing products and businesses

PROFESSIONAL EXPERIENCE:

Consultant

Confidential, New York, NY

Responsibilities:

  • Reputational & Credit Risk Assessments and presentation to the Confidential Oversight Committee
  • Review of operational risk compliance with OSFI regulations for Confidential counterparties with recommendations to add/watch-list/de-market
  • Review and summary of all proposed trading facilities for review by the global heads of FIC, I&TS, Central Funding, Equity Derivatives and

Consultant

Confidential, New York, NY

Responsibilities:

  • Provided structuring, marketing and regulatory guidance to asset managers for institutional prospects in North and South America.
  • Onshore and offshore structures evaluated in light of varying compliance requirements in various jurisdictions

Managing Director

Confidential, New York, NY

Responsibilities:

  • Built-out and launched a regulated asset manager and broker-dealer in the Confidential on behalf of the Swiss parent with bottom line responsibility for all functions including, Compliance, Investor Relations, Accounting, Operations, Human Resources, Portfolio Structuring, Sales.
  • Set up the RIA and BD compliance framework; review of external materials, personnel trading, KYC, AML and FinTrac, suitability reviews
  • Audited all external manager reviews and recommendations prior to Investment Committee consideration
  • Grew revenue to $12 million by year 3 and achieved profitability one year ahead of plan (year two)

Director, Confidential

Confidential

Responsibilities:

  • Established the Hedge Fund Relationship group for each firm with responsibility for credit and trading lines thus facilitating a key element of the trading strategy for the FX, Equity and Fixed Income Derivatives trading businesses.
  • Formulated risk policy guidelines, due diligence parameters and execution of on-site reviews and assessments
  • Developed and sold the first hedge fund product for each banks’ Confidential and brokerage clients
  • Oversaw the related legal and operational aspects of fund structuring, subscriptions, redemptions, valuations and investor communication.
  • Development of the Bank’s first global custody and securities lending services for institutional clients with Confidential
  • Co-developed the bank’s trust and institutional custody strategy culminating in the acquisition of International Trust and subsequently Royal Trusts’ custody operations making Confidential the largest custodian in Canada. During the acquisition led a due diligence team of 125 people for the purposes of verifying assets, revenue, systems and processes for the purpose of valuation of that business segment
  • Developed and executed the marketing plan profiling the Bank’s new capabilities to corporate account managers across Canada
  • Trust Officer for corporate pension plans ( )

Commercial Account Manager

Confidential

Responsibilities:

  • Completion of corporate and commercial lending program; developed and managed a commercial loan and banking portfolio

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