Qualifications for Executive-Level Management – Financial Services
Possesses over ten years of mid-level experience in multi-site sales and operations management in the financial services industry. Proficient in leading change within an organization, with emphasis on branch and regional operations, business planning, and marketing. Member NASD. Areas of expertise encompass:
• Increased efficiency in research distribution by creating a new program in concert with FactSet Data Systems to automate analyst publications. Expand reach to the street via customized distribution lists of clients and news service outlets to ensure maximum exposure. • Effectively manage and supervise process of all research content allocated to sales, trading, compliance, and asset management on behalf of Needham; Directly responsible for handing all aspects of “Research Morning Call” for ••••• employees and guests of Needham. • Directed the national rollout of the personal financial plan currently in place at Charles Schwab & Company. Achieved the highest level of advisory services performed by the company to date, growing it to become as profitable as a standalone service after only ••••• months of implementation. Aided in setting up a full-time department in Indianapolis that is solely dedicated to managing this offering. • Expanded the West Hartford market by •••••% over a •••••year period; the unit started as a two-person satellite operation and grew to become the sole marketplace for Charles Schwab, with ten full-time staff. • Reorganized two of the largest Charles Schwab investment centers in the New York metro region, turning both into top-producing sites within a period of only six months.
Business Unit Manager/Research, NEEDHAM & CO. LLC.••••••••••PRESENT Responsible for the coordination of research distributed throughout firm (Banking, Sales, Corporate Services, Asset Mgmt), clients and various news services. Assist Director with analysis, compliance and approval of all documentation surrounding company/industry analysis. Support ••••• Analysts within firm, specializing in Biotech, Semiconductor, Industrial Growth, Internet, and Consumer Services. • Team with Compliance Dept. to review all published material and ensure Chinese Wall provisions adhered to between Banking/Research. • Compile data of Research Dept. personnel on quarterly basis to review performance, quality of investment data presented, marketing efforts, & company meetings. Critique areas of success & shortcomings with each analyst to refine skill sets, ensure goals are met.
Vice President/Senior Manager, CHARLES SCHWAB & COMPANY INCORPORATED ••••• Manages the activities of up to ••••• professionals for major branches in New York and Connecticut; trains and develops sales consultants and other branch managers. Formulates business sales plans and implements actions across investment consultants that increase local market efforts and attract new business. Ensures regulatory compliance and collaborates with internal and external departments regarding new processes. Maintains responsibility for profits and losses, asset targets, local marketing, and IC performance. Highlights include: • Oversight of regional operations surrounding newly developed Financial Planning professionals and all Schwab Private Client personnel in NY Metropolitan area. • Teamed with Regional Directors to market test/create operational policies/procedures for area investment centers. Results included •••••% drop in new account & TOA fails, streamlined outgoing wire process, systemized record collection for ••••• Northeast Branches, 2 Service Centers. • Conducted annual Compliance/Audit exams for NY Metro area as Senior Vice President; educate and assist younger area managers in preparation for upcoming audits. • Earned the Chairman’s Award seven times, which recognizes top performers in retail branch operations based on profitability, asset production, compliance, and retention.
Portfolio Advisor, MITCHELL HUTCHINS INSTITUTIONAL INVESTORS (UBS/PAINE WEBBER) ••••• Managed diversified international and domestic investment portfolios for the fixed income department; maintained ongoing analysis of investment portfolios and client interaction to achieve positive results; and assisted executive managers in developing and presenting investment strategies to various accounts. Trained a second administrator to handle new accounts and ensure compliance with department policies regarding newly opened accounts, funds movement, security settlements, and customer and internal correspondence. • Improved the processing of back office trades and acted as a point person for all foreign debt settlements. • Streamlined the trading partners’ clearing and trading instructions to reduce DKs in the system.
Trust Administrator, THE BANK OF TOKYO TRUST COMPANY ••••• Supervised and maintained several Japanese investment and pension accounts; prepared and analyzed client presentations. Coordinated monthly, quarterly, and annual performance reviews for all investment accounts. Managed reverse purchase agreement operations for all pension and investment accounts. • Partnered with SEI to introduce new reporting standards and establish up-to-date posting of all investments. • Implemented a program for idle cash within the •••••(k) trust/administration department by increasing overnight repo/reverse repo activity.
Bachelor of Science: Major, Finance; Minor, Economics, SIENA COLLEGE Additional Training/Certifications ••••• Member NASD ••••• Series 7, 8, 9, •••••, •••••, •••••, •••••, •••••, •••••