More than ** years of senior-level success focused on business operations, development, and strategy. Visionary leader who executes corporate strategies for increased revenue, efficiency, and bottom-line profitability. Build top-caliber teams by coaching and mentoring employees to reach their true potential. Forge productive relations with professionals at all departments and levels. Offer well-rounded business acumen based on strong entrepreneurial experience. Thrive in dynamic, fast-paced settings. Committed to ongoing professional development. Experienced and confident public speaker. Master of Business Administration.
Major Operations Management*Profit & Loss (P&L) Management*Financial Analysis & Reporting*Strategic Business Development*Risk Management & Mitigation*Legal & Corporate Compliance*Corporate Change Management*Staff Training & Development*Talent Coaching & Mentoring
SOLIUM FINANCIAL, INC. Calgary, Alberta 2011 – 2015
Independent investment dealer established in May 2012 as subsidiary of Solium Capital. Focuses on organic optimization of corporate plan and online retail brokerage channels. Member of the Investment Industry Regulatory Organization of Canada.
PRESIDENT & CHIEF COMPLIANCE OFFICER (CCO)
*Set and execute core business vision and growth strategy. Drive all major functions including sales, technology, operations, and compliance. Actively engage with internal and external clients to ensure delivery of elite, responsive service. Network with financial service industry thought leaders, consultants, vendors, regulatory bodies, and client prospects. Managed an annual operating budget of $7M with assets under administration of $1.5B whilst leading a small team of 7 direct reports.
*Central figure in successful company launch; helped develop business plan and create infrastructure for various key functions such as hiring, office setup, and technology.
*Developed new business channel and peripheral processes including 5-year strategic plan, compliance documentation, procedures, and vendor negotiations.
*Affected $5M plus revenue growth by converting 150 corporate plan clients from a third-party broker dealer to Solium Financial in first 3 years of operation resulting in an EBITDA of 51% in 2014.
*Slashed expenses and boosted cash flow by initiating and implementing business metrics.
*Spearheaded increased account acquisition opportunity by introducing technology solutions.
*Partnered on membership application to establish company as a licensed investment dealer in Canada.
D&D SECURITIES, INC. Toronto, Ontario 2007 – 2011
Independent investment dealer, specializing in corporate financing, investment banking, retail wealth management, and institutional sales and trading.
PRESIDENT & CHIEF EXECUTIVE OFFICER (CEO)
*Coordinated all operations for this 35-employee enterprise. *Responsible for $20M annual P&L. Contributed to due diligence calls, corporate contract negotiations, and approval of all engagement agreements.
*Positioned short- and long-term success by creating new organizational infrastructure that included enhanced trading & sales desk, clear business strategy, and better strategic tracking mechanisms.
*Implemented business metrics that increased gross revenue 16%, reduced operating expenses 12%, and yielded 22% improvement to EBITDA.
*Balanced daily operations with expectations of Securities *Board, expertly managing relations with diverse stakeholders.
*Ensured proper conduct of firm’s employees and integrity of all protocols, holding ultimate responsibility to industry’s self-regulatory organization.
SURVISCOR Oakville, Ontario 2003 – 2007
Assesses and ranks online services offered to retail consumers and professional users. Produces annual and semi-annual scorCards™ ranking individual online firms within their respective industry.
VICE PRESIDENT & SENIOR ANALYST
*Critiqued client and advisor web offerings and support systems, and made value-added business solutions to enhance both user experience and company’s operational effectiveness.
*Led preparation of scorCards™ that analyzed Canadian online brokerage, bank, insurance, and mutual fund offerings and their relative industry ranking.
*Established reputation as an invaluable consultant and Subject Matter Expert within industry.
*Gained strong public speaking skills while delivering presentations to clients.
SUN LIFE SECURITIES, INC. Toronto, Ontario 2000 – 2003
Online and telephony-based firm servicing needs of the Canadian self-serve retail investor. Subsidiary of Sun Life Assurance Company of Canada.
PRESIDENT & COO
*Hired to set viable business strategy and infrastructure. Led 5 direct reports overseeing a 50-member workforce. Reported to EVP of Canadian Retail Division and to Sun Life Securities’ Board of Directors.
*Generated 48% savings in 2001 and 62% savings in 2002 by negotiating favorable new vendor agreements.
*Helped drive rapid account base growth: 12% in 2001 and 14% in 2002.
*Played central role in negotiating company sale to E*TRADE Canada in 2003.
*Achieved $1.38M profit in final year of operation.
CT SECURITIES, INC. Toronto, Ontario 1996 – 2000
Bank-owned investment dealer, specializing in online self-direct retail trading, retail wealth management, institutional & fixed income trading and custodial services. Led 10 direct reports overseeing a workforce of over 150 FTE.
VICE PRESIDENT, SERVICE OPERATIONS
*Key figure in transforming operations’ infrastructure, resulting in improved service standards.
*Restructured customer care/call centre to better manage increasing volumes: 130% between 1997and 2000.
*Decreased turnaround time in new account opening process: 70% between 1997 and 2000.
*Restructured telesales structure and process, resulting in increased successes: 120% between 1997 and 2000.
*Established top-caliber budgeting, forecasting, and financial analysis functions.
*Other leadership roles within TD Trust Services, Inc., TD GreenLine Investors Services and TD Bank. 1989 -1996
Education & Professional Development
Executive Master of Business Administration (EMBA), Athabasca University – Alberta, Canada
Bachelor of Arts – Math for Commerce, York University – Toronto, Ontario
Canadian Securities Institute, Toronto, Ontario – Canadian Securities Course; Conduct & Practice Handbook; Branch Managers Course; Chief Compliance Officer Qualification Exam; Partners, Directors & Officers (PDO).
Investment Industry Regulatory Industry of Canada - Financial Administrators Section
Investment Industry Regulatory Industry of Canada - Alberta District Council
Investment Industry Association of Canada - Small Dealers Committee
Investment Industry Association of Canada - Online Brokerage Committee