RISK MANAGEMENT & COMPLIANCE | OPERATIONAL SETTLEMENTS STRATEGIC PLANNING AND EXECUTION
Forward thinking, confident and enthusiastic professional with over 25 years of experience in Financial Services and Operations. Expertise in managing multiple Broker/Dealer and Hedge Fund settlement teams and Middle Office support staff.
Auditing & Compliance
Banking, Loans & Insurance
Risk & Quantitative Analysis
Feb 2017 – May 2017
Consultant, Brokerage Operations Leadership, Scottrade, Inc.Financial Industry Technical Services, Inc.
Dec 2016 – Feb 2017
Consultant, Broadridge Outsourcing Settlement Division - NomuraAccelerated Innovators, Inc.
Dec 2015 – Mar 2016
Consultant, BDC Settlement ConversionHuxley and Associates, Inc.
Jul 2013 – Nov 2015
Vice President - Fixed Income OperationsGuggenheim Securities, LLC
Jul 2005 – Nov 2011
Operations ManagerMFGlobal Inc.
May 2017 – May 2019
Fixed Income Oversight ManagerNomura Securites International, Inc.
Associates, IT - Computer Application Development