Fidelity Pricing & Cash Management Services, Boston, MA
A leading global financial services firm with assets of $1.4 trillion in brokerage, asset management, institutional, and international operations
Senior Vice President, Chief Compliance/Risk Officer2006 – 2009
·Reported to Divisional President and served on the senior management committee responsible for investment operations for Fund Accounting, Custody- Recon and Corporate Actions, Capital Stock/Transfer Agents, Fund Administration & Tax Reporting for Fidelity Retail, Institutional, International, Sub-Advised and Hedge Funds
·Managed the operational risk and compliance department activities across the technology and operations portfolio in Massachusetts, New Hampshire, Texas, and India.
Enterprise Risk Services, Boston, MA
Developed risk assessment plans for divisional leadership across North America and Canada seeking assurance on business plan implementation and pro-active remedies including staffing, internal controls, resources, and enterprise support
Senior Vice President, Risk Advisory Practices2004 – 2006
·Advised Divisional leadership on product launches, strategic business plans, development of risk and compliance functions, and mitigation plans
Fidelity Investments Institutional Services, Inc., Smithfield, RI
A Fidelity affiliate with $270 billion under administration, FIIS, serves the institutional wholesale adviser marketplace for Fidelity Advisor funds, Insurance broker-dealers, and Institutional Off-shore funds
Senior Vice President, Risk and Compliance1997 – 2004
·Created risk and compliance team responsible for Sales & Advertising, contract compliance, new business development, retail, wholesale, and institutional sales distribution, hot money compliance, business continuity, anti-money laundering, OFAC, Privacy, and ERISA plan compliance
National Financial Services, Inc., Boston, MA
A Fidelity affiliate with $350 billion under administration, NFS, services the correspondent clearing marketplace for introducing brokers, hedge funds, and registered investment advisers
Director, Correspondent Clearing1993 - 1997
·Created group to support, train, and develop correspondent clearing relationships and enhance sales through clearing platform