Manager Customer Service

Executive Summary

Financial Services Executive with a proven track record of creating

efficient, cost effective and compliant organizations. Experience in

financial management, strategic planning, brokerage processing, negotiating

and customer service. Experience obtained managing large global

organizations in both technology and operations. A results-oriented leader

with demonstrated strengths in evaluating and hiring talent, motivating and

mentoring people.

Professional Experience

Independent Contractor

Conversion Team Lead

September through December 2012

Responsibilities included management of six individuals, documenting the

client current processes, documenting what the future state would be,

preparing projects plans, creating status reports, working with development

on estimating gaps between the current and future process and presenting

updates to the client's senior management.

Independent Contractor

Middle Office Manager

Established Broker Dealer

February 2010 - August 2012

Hired to manage the clearing consolidation project. This project included

reviewing current and future client needs, selecting alternatives to their

current clearing agent, and managing the transition. Responsibilities

included:

. Define client requirements for back office processing.

. Define criteria to evaluate clearing brokers.

. Select clearing agents to participate in bid for broker dealers clearing

business.

. Evaluated and negotiated proposals submitted by clearing agents.

. Present to management findings and recommendations for selecting new

clearing agent

. Develop conversion schedule with selected clearing agent.

. Manage transition to new clearing agent.

. Manage Middle Office Team of 5

ICM Capital Markets, LTD

July 2009 - January 2010

Managing Director, Operations

Start up broker dealer looking to expand its retail, institutional and

trading business. My responsibilities included:

. Part of management team which decides the future and direction of the

business.

. Development of operational infrastructure to support new business.

. Selection of technology vendors for trading and operational platforms.

. Management of four FTE's.

. Responsible for middle and back office processing.

. Management of Clearing Broker.

iInvest Global Holdings

April - November 2008

Sr. Consultant

This start up broker dealer was focused on delivering global online retail

financial services for the non US marketplace. My responsibility was to

create back office capabilities.

. Development of staffing requirements.

. Selection of technology vendors for back office processing.

. Selection of vendors for outsourcing opportunities.

. Site selection for operations staff.

. Development of back office requirements for products being offered.

. Creation of operational budget.

Jefferies & Company, Inc.

1990 - 2008

Managing Director - Head of Global Operations (2006 - 2008)

Executive operations manager responsible for global transaction processing.

Responsibilities included US Institutional Equity Middle Office,

International Equity and Fixed Income Middle Office, Global Back Office

clearance and settlement (Purchase and Sales, Margin, DVP settlements,

transfers, corporate actions, new accounts, reconciliations and stock loan

operations) for equity and fixed income products. Designated as the

Registered Principal responsible for the business continuity plan and OATS.

. Managed 160 employees globally with a budget of $35mm.

. Settled over 600,000 trades a day for Jefferies and 45 fully disclosed

broker dealers.

. Made final decision for all technology-related projects including

software and equipment purchases, defining requirements for process

improvements and hiring of consultants.

. Defined the Business Continuity Plan for Global Operations which included

closing the Dallas office and consolidating the functions into New Jersey

resulting in a cost savings of $2.5mm/year.

. Successfully created the Operations Control Group and eliminated issues

with tax and regulatory reporting.

. Integrated the stock loan operations group into clearing to deal more

effectively with issues related to internal and external audits.

. Hired a senior manager and staff member enhancing the fixed income

clearing capabilities. Brought back the clearing of the Bonds Direct

business from Bear Sterns saving the firm $2.5mm/year.

. Successfully negotiated contract with back office provider (Broadridge)

resulting in increased service while reducing cost by $3mm/year.

. Analyzed feasibility of outsourcing offshore and onshore. Successfully

negotiated outsourcing contract with US vendor creating a potential

saving of $4mm/year.

. Created and managed the transition plan for international operations.

This included merging two back office applications into one, hiring

resources to run international operations and technology, and negotiating

the back office contract saving $1.5mm/year.

Senior Vice President and Chief Information Officer (2004 -2006)

Senior technology officer responsible for managing the infrastructure group

and individual groups that supported functional businesses (Equity Trading,

Investment Banking, Operations, Compliance, and Finance)

. Managed 150 employees globally with a budget of $100mm.

. Successfully created a change management function, project management

office and control function over purchasing meeting the requirements of

Sarbanes Oxley.

. Successfully re-aligned the development staff with the individual

business lines increasing productivity and efficiency.

. Re-negotiated the Reuters market data contract saving the firm $5mm/year.

Senior Vice President and Director of Operations (2001 -2004)

Senior operations manager responsible for global transaction processing.

Responsibilities included US Institutional Equity Middle Office, Global

Back Office clearance and settlement (Purchase and Sales, Margin, DVP

settlements, transfers, corporate actions, new accounts and

reconciliations, stock loan operations) for equity and fixed income

products.

. Managed 125 full time employees globally and a budget of $25mm.

. Settled over 250,000 trades a day for Jefferies and 25 fully disclosed

broker dealers.

. Successfully negotiated contract with back office provider resulting in a

yearly saving of $12mm.

First Vice President (1995 -2001)

Responsible for group of six that acted as interface between technology,

operations and trading developing specifications for enhancing processing

systems.

. Designated as Jefferies contact person internally and externally for the

T+3 and Y2K projects. Had overall responsibility ensuring each

department within the firm met the requirements of both initiatives.

. Collaborated with the front office on the development of a new Order

Management System and the middle office interface.

. Created specifications and implemented a new Streetside Reconciliation

System which pin pointed exceptions and eliminated the need for four

headcount.

Vice President (1990 -1995)

Responsible for managing the Purchase and Sales and New Accounts

Departments. Acted as liaison with Technology on all operational

initiatives.

. Managed purchase and sales and new accounts through transition to East

Coast consolidation.

Licenses

Series 24 - Registered Principal

Series 27 - Financial Operations Principal

Series 63 - Uniform State Law

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