President & CEO Resume
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Resume:
Professional Experience
JFQ Consulting (- present)
Financial Services Organizational and Operational Consulting
President & CEO
• JFQ Consulting provides customized solutions specifically for the financial services industry, from onsite consultation, long-term oversight and on and offsite coaching and instructional sessions.
• Specialization in:
• Organizational Consulting
• Review existing roles, responsibilities and organizational structure
• Provide coaching and leadership assistance to improve communication, collaboration, motivation, interpersonal relations, define roles and responsibilities and help in clarification of goals
• Operational Consulting
• Evaluate infrastructure and processes
• Recommend improvements; collaborate with onsite team to redesign workflow to maximize efficiency and productivity
• Provide assistance with implementation
• Develop new processes and procedures
• Offer coaching and ongoing support on and offsite
• Recently completed onsite project consulting for a leading investment bank in Central Asia, located in Almaty, Kazakhstan. Selected and implemented several systems throughout the analysis, sales, trading and operations departments and conducted training sessions for all personnel.
Due Cani Cellars Winery (- present)
Boutique producer of small lot premium wines from California
Chief Executive Officer/Founder
• Operating as a virtual winery, we outsource all operations from the vineyard to distribution to minimize operating costs and to maximize profit.
• We donate % of profit to animal rescue organizations and work in conjunction to promote animal rescue and adoption services.
Great Companies, LLC (- )
Investment Management Firm; Separate Managed and Institutional Accounts, Sub-Advised Mutual Funds and Variable Annuities
Vice President/Director of Trading and Operations ( – )
• As member of executive team, strategically led and managed a cross-functional team that handled all operations functions including fund accounting and reporting, performance calculation and analysis, trading and settlement. Supervised the client services department, which included high net worth clientele as well as consultants, institutional clients and sub-advised relationships.
• Oversaw firm audits, verifications, fund mergers and reorganizations with the largest fund merger totaling over $ million in assets.
• Restructured trading department and created operations department; eliminated loss of data and allowed for implementation of straight through processing (STP). Increased departmental accuracy in trade settlement by over % over manual settlement and improved settlement time to an average of . days versus days.
• Established AIMR compliant policies and procedures for all departments under supervision and worked closely with the Chief Compliance Officer and outside council to ensure compliance under the SEC and the Investment Advisors Act of .
• Worked closely with the CEO/CIO on product and firm strategy and acted as a key contributor in structuring the firm’s largest product.
Separate Accounts Manager/ Portfolio Analyst and Trader ( – )
• Managed in excess of $ million in separate accounts inline with corresponding portfolio models; managed all order flow for the firm, executing all orders on a discretionary basis for all firm strategies.
• Restructured account coverage list and introduced low cost execution partners including algorithmic execution options, program trading, ECNs, smart routing, and other policies to allow for best execution.
Raymond James Financial ()
Equity Capital Markets, Institutional Sales Trader ( – )
• Cultivated relationships with buy side accounts. Disseminated research and trading flow to institutional clients and worked trades in over the counter and listed securities directly with market makers and floor brokers.
International Holdings, Senior International Sales Trader ( – )
• Established Emerging Markets Sales and Trading Operation in New York office and coordinated trading efforts with the Argentina, India, Turkey, and London desks.
• Established all NASD compliant procedures and policies for trading operations and supervised desk as principal.
Listed Trading, Trader ( – )
• Traded listed blocks and wrap programs for firm registered representatives, affiliated brokers and money mangers and handled all trade errors for the PHLX specialist, rerouting misrouted trades to the NYSE and other listed exchanges.
T. Rowe Price ( – )
Investment Representative
• Responded to client inquiries regarding various investment vehicles and company products and completed requested fund transfers.
Education
Master of Business Administration (MBA)
Syracuse University, Martin J. Whitman School of Management; Syracuse, NY
GPA: .
• Recipient of the first Whitman School of Management Alumni Club iMBA Scholarship Award and recognized at graduation for academic achievement.
• One of MBA students chosen to represent the Whitman School of Management at Velocity, A Kelley School Conference for Accelerating Entrepreneurial Careers.
• Member of a four-person team to progress to top out of teams in Cerebration , The National University of Singapore MBA Challenge.
• Chosen as one of iMBA students that traveled to the Berkshire Hathaway headquarters to meet Warren Buffett.
• Participated in International Residencies in Dublin and Bermuda, interacting with local companies and officials in integrating local culture and business concepts into coursework.
Bachelor of Arts, Political Science (BA)
University of Rochester; Rochester, NY
Publications
Emotional Intelligence as a Facilitator of Project Leader Effectiveness, Co-Authored with David Wilemon, PhD, Earl and Josephine Snyder Professor of Innovation, Whitman School of Management, Syracuse University; accepted to the DSI & APDSI Conference .
Salary and Reward Structure: Why it is Essential to Have an Effective Plan, JFQ Consulting Essential Elements White Paper; www.jfqconsulting.com.
An Insider’s International Perspective, Security Traders Association Newsletter, Volume IV, Issue II; March , .
Quoted in several publications, including CNN Money, Bloomberg News, and The Oakland Tribune.
Community Service
Historic Hyde Park Neighborhood Association (- Present)
Board of Directors (-), Membership and Volunteer Chair
Security Traders Association of Florida (- Present)
President (-), Event Committee Co-Chair, Website Committee Chair, Charitable Events Committee Chair
University of Rochester Alumni Association (- Present)
Alumni Recruiter, Alumni Interviewer
Whitman School of Management, Syracuse University Alumni Association (- Present)
Professional Designations and Skills
Designations
Holder of National Association of Securities Dealers (NASD) Series and licenses.
Computer Skills
Microsoft Office including Access, Excel, MS Project, PowerPoint, Word; Apple iWorks; various financial systems and programs.
Language Skills
Basic French and Italian.
International Experience
Resided in Almaty, Kazakhstan for several months while completing a long term consulting project.
Completed short-term residencies in Bermuda and Ireland, while involved with Master of Business Administration program at the Whitman School of Management at Syracuse University.
Experience working with capital markets professionals in several countries, including significant exposure to Argentina, India, Kazakhstan, Turkey and the United Kingdom.
