Management

MANAGEMENT PROFESSIONAL

Currently holds *, * and 63 industry licenses

Driven and results-focused senior-level management professional, equipped with more than 35 years of well-rounded finance industry experience spanning multiple areas including operations, sales / account development, research recovery and IT management. Hands-on leader with exemplary dedication and loyalty coupled with in-depth skills and knowledge in rapidly identifying business needs, integrating plan and operational diversities, and implementing robust systems and processes focused on increasing profits, efficiency improvement and cost reduction. Innovative and definitive leader with proven ability in developing “outside the box” solutions and a well-earned reputation of unparalleled work ethics, interpersonal dexterity, and commitment to service excellence.

AREAS OF EXPERTISE

- Operations / Branch Management

- Communication and Negotiation

- Planning and Process Analysis

- Budget Management

- Project Management

- Regulatory Compliance

- IT / Technology Solutions

- Continuous Process Improvement

CAREER HIGHLIGHTS

- Successfully designed and deployed ACAT system and positioned Shearson Lehman Bros as one of the first two firms to convert into industry standard integrated account transfer system and resolved an industry-wide problem with major focus on regulations.

- Worked as part of product development and implementation team to ensure the success of FMA product, the firm’s premier account. Coordinated with American Express to have seamless integration with credit card and checking processes.

- Successfully developed an account verification profile system in compliance with NYSE AND SEC regulations as they relate to confirming client information for suitability purposes.

- Implemented IRA/KEOGH contribution and distribution tracking facility during the explosion years of IRA business when majority of working persons could make deductable contributions.

- Ensured the successful design, development and implementation of Financial Advisor Account Distribution system, built to settle inequities in the distribution of client accounts when FA’s have left the firm.

- Pioneered the development of branch workflow systems, which would streamline the branch system, allows the building of supervisory centers, creates geographic independence, and will bring substantial savings.

- Continuously provide leadership direction to Smith Barney’s Branch Administration Department, which was voted as the most responsive department for the last two years and currently on track of achieving a more improved performance rating.

- Recommended, developed, and responsible for overall implementation of a strategy that initiated significant cost controls and facilitated efficiency increase for Smith Barney; this initiative involved managing branch scanning, archival and retrieval system and selection of hardware and software components.

- Directed all stages of building the Branch Management Portal; a facility designed to eliminate the need of sending hard copy reports to Smith Barney Retail branches and improved the escalation process to the field management. Included multiple business functions, such as the delivery of adhoc reports, systematized in context e-mail messaging, robust tracking, archival and retrieval, delegation, filtering capability, access-viewing to other systems, and workload balancing.

- Instrumental part of the integration team for both home office operations and branches in 13 mergers.

- Acted as the subject matter expert in the design and build of the firm’s three names and address systems over the last 20 years. The first version being a main frame application as representative for Home office operations. The second was a visual basic application and the third and present is an intranet/internet application. (Represented the business side on the second and third version)

PROFESSIONAL EXPERIENCE

Smith Barney - New York City, NY

Managing Director (Branch Administration) 1988-Present

- Direct and streamline all activities and communication of New York departments to the retail branch network and coordinate all branches for the integration of plans and strategies related to operations, compliance and administration.

- Oversee IT budget and identify / develop cost control procedures while optimizing maintenance of surveillance, operations and management systems.

- Manage subject matter experts in providing help desk support (Branch Liaison) for branch management staff.

- Play a pivotal role in on-boarding, training and directional activities of recruited financial advisors.

- Direct and ensure performance efficiency of a group of business analysts for design and implementation of new systems and enhancements to existing branch systems.

- Actively participate in business planning and decision making process by providing comprehensive MIS package to the senior management.

- Lead and ensure the steadfast operations and completion of all remediation projects designed to improve information management system for the company.

- Work closely with senior management to sustain strict guidance of weekly activities and strategies.

PRIOR EXPERIENCE

Vice President / Manager Home Office Operations Shearson Lehman Bros. NYC, NY

First Vice President / Manager, Branch Recruitment Smith Barney Shearson - New York City, NY

Senior Vice President, Branch Office Operations Smith Barney - New York City, NY

PROFESSIONAL TRAINING

Attended numerous management training programs offered by Smith Barney

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