Management Executive Director

Executive Director

Branch Administration Field Management Home Office Operations

Executive leader with expertise in all facets of branch and regional field operations, financial management and controllership within a financial services organization. Instrumental in implementing process improvements, technology solutions and developing applications such as WEBNAS, Branch Workflow, Scanning, CAQ, and ACATS. Proven track record of increasing responsibility as well as success leading teams, delivering business transformation and serving on integration teams involved in more than 20 mergers during a 30+ year period. Skilled in collaborating with all members of legal, compliance, risk and product groups to achieve business and financial objectives.

Strategic Planning

Branch/Field Management

Operations

Team Management

Process Improvements

New Business Development

Application Development

Mergers & Acquisitions

Project Management

PROFESSIONAL EXPERIENCE

Morgan Stanley/Smith Barney, New York, NY 2005 – 2017

Executive Director, 2015 – 2017

Develop and execute strategic planning to advance organizational growth and profitability.

Provide leadership and vision for field management administration including WEBNAS and TECH Infrastructure.

Oversee five staff members responsible for CAQ, Report Portal, WEB Approvals, Forms Gallery and SWING system.

Manage relationships with multiple departments involved in the development of branch practices and procedures.

Collaborate with key internal and external partners in various business activities including mergers.

Conduct surveys to measure key metrics of field management administration.

Executive Director/Managing Director, 2007 – 2015

Supplied guidance and drove teams in effort to attain business objectives.

Accountable for overall planning, execution, and success of designated projects.

Served as project lead in development of branch workflow application which was designed to increase efficiencies while mitigating risks in the field.

Collaborated with IT development, legal, compliance, risk and product partners to ensure comprehension of strategic direction.

Managing Director, 2005 – 2007

Functioned as co-director of branch administration responsible for providing support for the company’s divisions, regions and branches.

Mentored and developed branch liaison and branch control teams to provide quality service to external and internal clients.

Generated MIS reports to evaluate daily activities and identify business problems.

Participated in weekly field management regional calls and served as member of branch recruitment team.

Implemented process improvements to meet or exceed productivity, quality and efficiency of existing systems.

Smith Barney/Shearson, New York, NY 1973 – 2005

Senior Vice President/Vice President, 1986 – 2005

Developed specifications and launched Account Verification Profile system, and designed Financial Advisor Account Distribution application.

Established and maintained branch management portal which provided operational reports and metrics to branches.

Streamlined financial processes and introduced process improvements that enhanced productivity.

Managed branch operations and branch liaison team; contributed support and communication to branches.

Investigated client complaints and successfully resolved issues.

Vice President, 1974 – 2005

Managed branch liaison, new accounts, FMA operations and call center, retirement plan operations, ACATS, research and recovery departments.

Served on integration team for over 20 mergers.

Functioned as member of FMA development and training task force.

Collaborated on design and implementation of IRA/Keogh reporting system.

EDUCATION & CREDENTIALS

De Witt Clinton Bronx High School, New York

FINRA Certifications

Series 7 Certification

Series 63 Certification

Series 9/10 Certification

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