Project Manager System

BRIAN D. LORD

Mobile: 516-***-**** **********@*****.***

PROFESSIONAL EXPERIENCE

TRIPLESHOT LLC, Boston, MA [remote via NJ-based home office] September 2012 – Present

Manager of Client Services

Solely responsible for monitoring client orders within trading system, responding to client queries, and

troubleshooting time sensitive trading issues.

Coordinated FIX connectivity and performed production tests with over 60 large buy side clients; created FIX

specification and certification documentation as well as performed all UAT FIX certifications.

Managed implementation of firm’s sell side OMS and outsourced FIX connectivity service. Performed

requirements gathering, comparative analysis, negotiation of contract terms, and implementation of platforms

used for order monitoring, regulatory reporting, trading, and client connectivity.

Critical member of launch team for start-up Alternative Trading System (ATS). Contributed extensively to

decisions regarding business model and system functionality.

Provided back up assistance to clearing and settlement team; allocated trades to client subaccounts, opened

new accounts with clearing broker, and resolved trade breaks.

Set up and managed cloud-based CRM, VoIP phone service, and help desk software for use by sales and

client services teams.

ARITAS SECURITIES LLC, New York, NY September 2004 – May 2012

Director of Client Services (April 2011 – May 2012)

Managed Client Services team; responsible for providing Tier 1 technical support for 3,200+ user

environment. Monitored all aspects of client trades within proprietary Algorithm Switching Engine and block

crossing marketplace.

Lead project manager for several initiatives which successfully imbedded access to the trading system into

clients’ existing workflow. Responsible for coordination between quantitative, IT, legal, and back office

teams.

Supervised client implementation of electronic trading application to ensure a seamless adoption of software

and associated FIX connectivity.

Responsible for mitigating financial exposure associated with error trades as well as trading client orders on

their behalf.

Local administrator of Salesforce, a cloud-based, enterprise CRM. Primary contact for all system

improvements and troubleshooting as well as maintaining system database.

Associate Director of Corporate Development (July 2009 – April 2011)

Established strategic alliances with ten bulge bracket broker-dealers, leading to an increase in liquidity

through the reinstatement of algorithmic order flow into the trading system’s block crossing marketplace.

Achieved over $300K/annum in additional revenue; largely resulting from trades in micro and small cap

stocks, providing significant liquidity to clients in thinly traded securities.

Integrated new algorithmic and exchange destinations into proprietary Algorithm Switching Engine through

collaboration with external electronic trading teams. Responsible for saving the firm over $150K/annum by

decreasing the execution fees of several venues by up to 50%.

Successfully negotiated contracts with OMS/EMS vendors for tighter integration between platforms.

Reduced several long-standing, revenue-sharing partnership fees up to 75%, leading to savings of over

$180K/annum.

Represented company at industry conferences; provided software demonstrations to prospective clients and

increased system awareness.

Associate Director of Client Services (January 2005 – July 2009)

Triaged all incoming client issues and provided prompt resolution; escalated to Tier 2 or 3 support teams

when required. Utilized ticketing system for efficient tracking and rapid turnaround.

Coordinated with IT personnel as well as OMS/EMS and FIX network providers to establish initial

connectivity to over 160 clients. Performed UAT FIX certifications with new vendors.

BRIAN D. LORD

PROFESSIONAL EXPERIENCE (CONTINUED)

Cultivated and maintained relationships with OMS/EMS vendors. Created an open exchange of technical and

business solutions for integrations between platforms, while strengthening mutually beneficial partnerships.

Provided initial and ongoing system training for clients as well as both domestic and international staff.

Responsible for creating and presenting operating reports to senior management and sales team.

Settlements Administrator (September 2004 – January 2005)

Researched and resolved trade breaks prior to settlement for start-up ATS.

Processed broker-dealer clearing agreements and institutional trade allocation instructions.

Documented and maintained a comprehensive manual for back office clearing and settlement procedures.

Collaborated with engineering team to create a proprietary execution reporting and allocation system.

Established and maintained back office system to satisfy FINRA requirements.

JOHN HANCOCK FINANCIAL SERVICES, New York, NY June 2002 – August 2004

Financial Services Representative

Marketed and placed over $15MM of wealth protection for high-net-worth individuals. Serviced, maintained,

and grew personal client base.

Implemented affinity programs for large associations, offering discounted insurance programs to members.

EDUCATION

UNIVERSITY OF RHODE ISLAND, Kingston, RI 2002

Bachelor of Science - Finance

PROFESSIONAL LICENSES

FINRA Series 7, 24, 55, and 63

COMPETENCIES

FIX, Bloomberg, EMSX, EZoms, Newport, RealTick, Omgeo OASYS & ALERT, NetX360, Salesforce, Insightly,

Freshdesk, MS Office suite

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