Farmingdale, New Jersey, United States
Proven track record implementing strategies to increase profitability. Develop & direct high performing teams to consistently deliver superior results.
Head of Fixed Income Trading
Relationship Manager and primary contact for largest clients of Tradeweb Direct. Responsible for developing the depth and width of the relationship, with the goal of complete client satisfaction in sales, trading, technology and business analysis. --Negotiated and finalized four long-term service contracts --Sold Portfolio Solutions (premier fixed income analytics tool) to four clients --Represented the firm at Bond Dealers of America conference panel discussions --Active member of SIFMA Retail Fixed Income Committee
Fully responsible for reviewing and evaluating compliance issues/concerns within the broker-dealer. Ensuring that management and employees were in compliance with the rules and regulations of regulatory agencies, that company policies and procedures were being followed, and that behavior within the organization met the appropriate standards. -- Developed, initiated, maintained and revised policies and procedures to be consistent with regulatory pronouncements; as well as identified potential areas of risk and developed/implemented corrective plans. --Collaborated with other departments and senior management to direct compliance issues to the appropriate area for resolution. --Communicated and responded to all regulatory inquiry.
Responsible for leading the growth of the retail taxable fixed income trading business across multiple asset classes. Supervised all aspects of trading activities of a 20+-member team utilizing $250+ million balance sheet. -- Oversaw the expansion of electronic trading capabilities to multiple trading partners across various electronic platforms. -- Directly responsible for revenue growth and cost reduction during the financial crises of 2008-2009. -- Led and motivated a team of 20+ trading professionals. -- Collaborated with global colleagues to enhance efficiencies by adopting and utilizing various technology and processes. -- Represented the firm's interest as an active member of the SIFMA Retail Fixed Income Committee. -- Acted as Deputy Chair of UBS IB Americas All Bar None (Women's) Network in an effort to promote diversity across the organization.
Deputy Head of US Retail Fixed Income Trading providing supervision of trading activities of 25+-member team. Prepared in-depth reporting of trading revenue, trading volumes, profit & loss analysis, and costs for strategic planning. -- Collaborated with logistics partners across business unit control, portfolio risk management, IT, operations, human resources, legal and compliance to ensure efficient use of resources in support of the business' objectives and revenue generation.
Senior business representative focused on improving efficiencies and operational risk control. -- Spearheaded major integration projects as business lead between UBS divisions interacting with all stakeholders to ensure delivery of project on time and on budget. -- Constructed, documented and implemented new processes across various transactional businesses (equity, fixed income, unit investment trust) to enhance efficiencies and improve operational risk management. Acted as lead business stakeholder on information technology-related projects.