Executive Leadership/COO
Resume:
STEPHANIE HOCKMAN
*** ******* ****, ********, ******* 59840
****************@*****.***
Field of Interest: EXECUTIVE LEADERSHIP
Project Administration People Development and Leadership Process Optimization
Hedge Fund Expertise Business Valuation Entity Structure Enhancement
Contract Negotiation and Management Profit and Loss Budget Administration
EXECUTIVE PROFILE
Seasoned, solutions-focused, and dedicated executive; with more than 20 years of hands-on experience in financial
services, organizational management and development, profitability improvement, and strategic planning. Armed
with exceptional capability to direct and collaborate with cross-functional teams toward the achievement of
organizational goals and objectives.
Additional qualifications include:
- Outstanding knowledge and expertise in alternative investment and the financial service industry
- Solid business and financial skills to achieve positive and high-quality results
- Proven capability of making sound decisions along with implementing strategic solutions to drive growth
and profitability
- Adeptness and composure in solving problems within fast-paced and challenging environments
PROFESSIONAL EXPERIENCE
BNP PARIBAS, NEW YORK LONDON HONG KONG
Managing Director - Oct 2008–Jan 2015
- Function as member of the Global Equities and Commodity Derivatives (GECD) Executive Committee and
the Global Prime Services Management Committee
- Progressively increased team management and functional responsibilities throughout tenure increasing
impact to firm and culture
- Serve as an inaugural member of the Global Women’s Leadership Initiative, which emphasizes the
advancement of women in the organization
- Assume full responsibility for creating and implementing programs for employee development, engagement,
and retention through leadership on the Career Development Board, founder of the GECD Analyst &
Associate Advisory Board, and founder of the Global Markets Women’s Forum
- Perform systematic assessment and formation of working groups for the implementation of initiatives to
improve firm culture and processes that were identified in an annual employee survey
Head of Strategic Marketing and Communications
Global Equities and Commodity Derivatives (GECD) Americas - Jul 2012–Jan 2015
- Monitored and led the performance of four employees in dealing with all strategic marketing and
communication initiatives
- Spearheaded the execution of several marketing strategies while maintaining strategic communications with
clients and vendors; managed their budget worth approximately $2M annually
- Led the creation and implementation of communications related to global regulatory initiatives, including
Dodd-Frank Act, European Market Infrastructure Regulation (EMIR), and Foreign Account Tax Compliance
Act (FATCA)
- Liaised with the media relations team to build brand awareness of personnel and products
Global Head of Prime Services Onboarding - Jun 2009–Jan 2015
- Directed the global team for onboarding all clients into the prime services platform
- Oversight of the new account validation process including validation of revenue potential and capital use
- Maintained direct collaboration with global management and internal stakeholders in improving the process
and removing impediments, thereby resulting in an efficient and streamlined client experience
- Generated several comprehensive processes to guarantee compliance with firm standards and client focus
- Carried out accurate management of internal and external regulatory inquiries and audits
Head of GECD Americas Client Implementation Coordinators - Jun 2011–Jan 2015
- Established and guided the Client Implementation Coordinators (CIC) Team in working as the single point of
contact for internal marketers and clients to integrate all equities and commodity execution clients
- Facilitated professional training of all employees regarding the internal onboarding process and regulatory
initiatives
- Worked in partnership with cross-functional, global, and regional teams in leading the global onboarding
process for all clients for all GECD products
- Ensured accuracy in overseeing the internal and external audit and regulatory inquiries
Head of GECD Americas Prime Relationship Management - Oct 2008–Jun 2009
- Provided oversight to the performance of nine senior relationship managers in New York, New York; San
Francisco, California; Chicago, Illinois; and Dallas, Texas
- Displayed expertise in formulating and enforcing a cohesive team strategy to achieve the growth and
stability of client base after the transition to BNP Paribas
- Carried out systematic assessment of all US prime services clients for profitability and growth; and directed
the implementation of strategic plans for the realignment of resources and key strengths, including:
- Keen recognition and subsequent transition of 150 less profitable clients
- Successful transition of clients from the co-location technology
CAREER ACCOMPLISHMENTS:
- Demonstrated major increase to the effectiveness of overall client integration process involving the
onboarding of more than 350 accounts to GECD products and platforms on an annual basis
- Created the BNP Paribas Celebrates Success speaker series which highlighted key women (initial speaker
was Madeleine Albright).
- Served as the driving force behind the successful improvement of overall client satisfaction as well as the
40% increase in revenue by realigning resources and renegotiating pricing for unprofitable accounts
- Led the development and implementation of the GECD Americas Analyst and Associate Training Program
Advisory Board, focusing on the standardization and improvement of the interview and selection process;
development of core school recruiting teams; and the establishment of a comprehensive internship as well
as engagement and retention programs
BANC OF AMERICA SECURITIES, LLC, CHICAGO, IL SAN FRANCISCO, CA DALLAS, TX
Principal - Feb 2001–Oct 2008
- Worked as an integral member of the US Prime Brokerage Management Team
Project Lead, Prime Brokerage platform transition to BNP Paribas - Nov 2007–Oct 2008
- Functioned as the liaison and key resource, providing regular communication to management regarding sale
of the prime brokerage platform
Head of West Coast Prime Relationship Management in San Francisco, CA - Nov 2004–Nov 2007
Head of Midwest Prime Relationship Management in Chicago, IL - Feb 2001–Nov 2004
- Consulted with clients to optimize entity structures, staffing, processes, and vendor selection to allow for
efficient and systematic growth
- Organized and executed various annual client events which improved client relationships, cross-selling of
firm products, and increased client revenue
- Interacted with sales regarding client pitches and oversaw the onboarding of all new clients, including the
organizational structure review, account documentation negotiation, account setup completion, and platform
functionality demonstration through new client orientations
- Coordinated and facilitated various training sessions for clients’ personnel, hedge fund investors, and service
providers to accurately discuss prime brokerage services
- Spearheaded the execution of hedge fund roundtable forums in numerous cities providing an opportunity
for networking and discussion of current issues to the hedge fund community
CAREER ACCOMPLISHMENTS:
- Accomplished 100% success rate in retaining more than 200 personnel and 695 clients during the transition
to BNP Paribas by maintaining coordination with legal, compliance, and marketing groups at both firms; as
well as by conducting development of effective client and internal communication tools and motivated
nationwide teams
- Rendered oversight of more than 250 accounts from the Midwest to the West Coast, which drove major
increase in profitability in each office at Chicago and San Francisco by 25% to 30% through renegotiating
contracts and enhancing client service
- Co-authored the inaugural ”How to Start a Hedge Fund Guide,” a book based on personal consulting
efforts to hedge fund clients, and which was subsequently published and distributed to clients and
prospects
- Produced and streamlined a nationwide process of account review, which substantially boosted client
profitability and efficient usage of firm resources
EARLIER CAREER
ARTHUR ANDERSEN, LLP, CHICAGO, IL
Tax Manager - Aug 1994–Feb 2001
EDUCATION
Master in Professional Accounting - May 1994
UNIVERSITY OF TEXAS AUSTIN, TX
Bachelor of Business Administration - May 1994
UNIVERSITY OF TEXAS AUSTIN, TX
Authentic Leadership Development Executive Education Program - Aug 2014
HARVARD BUSINESS SCHOOL, BOSTON, MA
CREDENTIALS
Series 7, General Securities Representative (GS) - 2001–Present
Series 63, Uniform Securities State Law Examination - 2001–Present
Series 24, General Securities Principal (GP) - 2001–Present
Certified Public Accountant, State of Illinois - 1994–2001
ACTIVITIES
Emma’s House Child Advocacy Sponsor - 2011–Present
University of Texas Alumni Association Lifetime Member - 1994–Present
100 Women in Hedge Funds Participant - 2005–2014
Grace Lutheran Learning Center–School Board Parent Advisor - 2009–2012
Hedge Funds Care, National Board Member, Regional Board Member - 2002–2007
Off the Street Club Junior Board President and Founding Member - 2002–2004
University of Texas Alumni Association Chicago Chapter President - 1995–2000
Chicago Inner City Volunteer Basketball Coach - 1994–2000
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