Experience

SMBC Nikko Securities America, Inc.

• United States
• Investment Banking
• 200 - 300 Employee

• Director

  • Jan 2022 - Present

  New York, United States • Head of Transaction Advisory, responsible for execution of multi-formatted transactions for ABS, CLO, EETC, et al. • Manage transaction cycle for term business encompassing: Originations, Syndications, Deal Execution through settlement. • Aviation/ Esoteric Origination – primarily responsible for new issue structured debt transactions across the transportation & esoteric spaces, among other “off-the-run” issuances, covering Consumer Loan, Real Estate, Renewable Energy, et… Show more • Head of Transaction Advisory, responsible for execution of multi-formatted transactions for ABS, CLO, EETC, et al. • Manage transaction cycle for term business encompassing: Originations, Syndications, Deal Execution through settlement. • Aviation/ Esoteric Origination – primarily responsible for new issue structured debt transactions across the transportation & esoteric spaces, among other “off-the-run” issuances, covering Consumer Loan, Real Estate, Renewable Energy, et al. • Structured Finance Business Manager, acting strategic business consultant, complex transaction negotiator, committee rep. • Monetized our B&D platform capabilities by performing settlement agent services for key strategic business partner. • Help arrange bank & conduit financings/warehouses, through which we optimize for structured finance takeout transactions. • Interim-Head of Manhattan Asset Funding – USCP & ECP ABCP Conduit, handle trading and conduit management.

• Vice President

  • Nov 2017 - Present

  Greater New York City Area • Review and negotiate all deal documentation, legal contracts, engagement letters, marketing material, etc. • Established an independent transaction management platform providing SFG the capabilities to facilitate B&D functions. • Building out esoteric asset class focused on diversifying our product suite and expanding our footprint across the Americas. • Enhanced our capabilities in the aircraft space by harnessing stronger internal collaboration increasing our investor base. •… Show more • Review and negotiate all deal documentation, legal contracts, engagement letters, marketing material, etc. • Established an independent transaction management platform providing SFG the capabilities to facilitate B&D functions. • Building out esoteric asset class focused on diversifying our product suite and expanding our footprint across the Americas. • Enhanced our capabilities in the aircraft space by harnessing stronger internal collaboration increasing our investor base. • Conduit Management – managed an $18.5bn multi-currency, mixed asset, ABCP portfolio that is 2a7 compliant. • ABCP Trading – traded ABCP USD, Eur, UK markets; maintaining key relationships with various ABCP dealers & investors. • Involved in several committees representing SFG on: underwritings, new product establishment, revenue, accounting, & legal.



HSBC

• United Kingdom
• Financial Services
• 700 & Above Employee

• Capital Finance, Origination – Transaction Management Americas, Senior Associate/AVP

  • Apr 2015 - Nov 2017

  Greater New York City Area • Originate and Structure deals across: Debt Capital Markets, Leveraged & Acquisition Finance/High Yield & Asset Backed Finance. • EM - manage all deals involving underwriting, bi-lateral / cash repo or syndicated lending facilities within Argentina. • Coverage encompasses all FIG and Corp new issues, both IG and Sub-IG, across SEC registered, 144A/Reg S and 3(a)(2) formats. • Advise issuers on the best means of entering onshore/offshore markets through SEC exemptions; pros/cons of SEC… Show more • Originate and Structure deals across: Debt Capital Markets, Leveraged & Acquisition Finance/High Yield & Asset Backed Finance. • EM - manage all deals involving underwriting, bi-lateral / cash repo or syndicated lending facilities within Argentina. • Coverage encompasses all FIG and Corp new issues, both IG and Sub-IG, across SEC registered, 144A/Reg S and 3(a)(2) formats. • Advise issuers on the best means of entering onshore/offshore markets through SEC exemptions; pros/cons of SEC registration, MTN shelf establishment or stand-alone issuances, based on issuer financing needs, anticipated frequency of issuances and cost considerations. • Handle all new issue deal documentation, including reviewing and amending Offering Memorandums/Prospectuses, drafting Pricing Term Sheets and Terms Agreements, Purchase Agreements, Legal Opinions, Due Diligence, Pitch Books and other investor materials. • B&D – when mandated, responsible for physical settlement/closing of fixed income transitions on behalf of the entire banking syndicate. • Underwrite all of HSBC Group Treasury deals. Advise on liquidity and capital structure optimization, TLAC and regulatory capital reqs. • Work closely with syndicate to assess and scale order-book, relay pricing information to issuer and refine pricing for printing tickets. • Responsible for junior resource development across Capital Finance in New York; currently with one full-time direct report. • ECM – facilitate 10b-18 share repurchases for clients, working closely with traders to keep execution prices below daily VWAPs.

• Global Banking | FIG Relationship Management

  • Apr 2013 - Apr 2015

  452 5th Avenue, New York, NY 10018 • Actively manage 60+ Multi-national Bank and US Asset Manager Relationships across Asia and the Americas. • Develop strategic relationships with senior client contacts to maintain flow driven business and realize new business opportunities. • Relationship Management responsibilities include: strategic client planning and business development, cross product sales, establishment and maintenance of credit facilities, onboarding, KYC, and site visitations. • Collaborate with deal parties… Show more • Actively manage 60+ Multi-national Bank and US Asset Manager Relationships across Asia and the Americas. • Develop strategic relationships with senior client contacts to maintain flow driven business and realize new business opportunities. • Relationship Management responsibilities include: strategic client planning and business development, cross product sales, establishment and maintenance of credit facilities, onboarding, KYC, and site visitations. • Collaborate with deal parties on structuring, analysis, negotiation, and documentation for ISDA/CSA/MLSA agreements. • Strong product knowledge in PCM, Trade Services, DCM, ECM, FX, Rates, Derivatives, Lending, and Precious Metals. • Host client meetings to recalibrate client goals and strategies in light of changing market/regulatory environment. • Run DealPoint scenarios through our proprietary model to assess total income, NOI, RoE, and SVA on a per transaction basis to determine the capital benefit of engaging in each transaction. • Prepare monthly revenue presentations for FIG Senior Management; analyze revenues trends across FIG sectors and products.

• FIG & FIG Funds Analyst, Subject Matter Expert - Global Banking & Markets

  • Aug 2011 - Apr 2013

  452 5th Avenue, New York, NY 10018 • Managed the onboarding process for hedge fund and investment manager clients across new business. • Co-managed a cross-border KYC remediation project comprised of 120+ employees; completed the project three weeks ahead of its one year deadline. • Provided guidance as SME to various internal stakeholders on policy, AML/KYC, compliance and strategic implementation issues. • Liaised with clients to facilitate onboarding, manage account opening, negotiate documentation and advise on… Show more • Managed the onboarding process for hedge fund and investment manager clients across new business. • Co-managed a cross-border KYC remediation project comprised of 120+ employees; completed the project three weeks ahead of its one year deadline. • Provided guidance as SME to various internal stakeholders on policy, AML/KYC, compliance and strategic implementation issues. • Liaised with clients to facilitate onboarding, manage account opening, negotiate documentation and advise on business issues. • Oversaw process development by making recommendations to senior management on how to maximize efficiency, reduce costs, etc. • Received a formal award for recognition for my achievements and performances in 2011 by Global Department Head.



BNY Mellon

• United States
• Financial Services
• 700 & Above Employee

• Int’l Corporate Trust, Financial Markets & Treasury Services, Structured Finance Associate

  • Jan 2011 - Aug 2011

  101 Barclay Street • Reviewed deal documents such as: OMs, Prospectuses, Private Placement memos, various fund raising instruments, interbank agreements, waterfall tranche structures, and other documents required for origination / transactional banking business. • Responsible for identifying documentation requirements for all new deals across the Americas Region. • Advised Relationship Managers and clients on documentation requirements for all new deals and new onboardings. • Represented the group in… Show more • Reviewed deal documents such as: OMs, Prospectuses, Private Placement memos, various fund raising instruments, interbank agreements, waterfall tranche structures, and other documents required for origination / transactional banking business. • Responsible for identifying documentation requirements for all new deals across the Americas Region. • Advised Relationship Managers and clients on documentation requirements for all new deals and new onboardings. • Represented the group in audited shareholder meetings to discuss our business model, targets and prospective deal pipeline. • Supported business retention based on profitability, risk and overall client relationship analysis at weekly discussion forum. • Managed the high-risk business presentation process for our Anti-Money Laundering Oversight Committee (AMLOC). Show less



Brown Brothers Harriman

• United States
• Financial Services
• 700 & Above Employee

• Intern

  • May 2010 - Dec 2010

  Income Collection and Tax • Production – Working with teams to facilitate accounting practices to capture the flow of capital during daily transactions. • High Level Reporting – Consolidating information into daily, weekly and monthly progress reports for Sr. Mgt. review.



Brown Brothers Harriman

• United States
• Financial Services
• 700 & Above Employee

• Foreign Exchange Trading Intern

  • May 2008 - Sep 2008

  140 Broadway, New York, NY 10005 • Workflows and Procedures - Constructed a detailed instruction manual containing procedures necessary to extract and compute data necessary for collateralizing funds between BBH and their clients, for open FX contracts. • BCP Planning - Outlined the firm’s Business Continuity Plan for NY/NJ/PA offices. • FX Trading Competition - Won a departmental paper trading competition involving interns and employees, generated the highest profit over an eight-week period, totaling over… Show more • Workflows and Procedures - Constructed a detailed instruction manual containing procedures necessary to extract and compute data necessary for collateralizing funds between BBH and their clients, for open FX contracts. • BCP Planning - Outlined the firm’s Business Continuity Plan for NY/NJ/PA offices. • FX Trading Competition - Won a departmental paper trading competition involving interns and employees, generated the highest profit over an eight-week period, totaling over $270,000 USD. Show less