Experience

Digital Twin Consortium

• United States
• Information Technology & Services
• 1 - 100 Employee

• Project Manager

  • Jul 2021 - Present

  Greater Boston Area I am responsible for the administration of the DTC's Liaison and Regional Branch Organizer programs.



Fidelity Investments

• United States
• Financial Services
• 700 & Above Employee

• Compliance Director

  • Dec 2013 - Jun 2017

  Smithfield, RI • Member of the CCO's senior leadership team; • Designed the program and led a team that assessed and tested the regulatory fitness of technology and software used and developed for Fidelity’s retail brokerage operations; • Primary compliance subject matter expert for digital adoption by the firm; • Led team providing compliance support for social media, e-communications, and books and records programs for the firm;

• Compliance Director

  • Mar 2003 - Nov 2013

  Boston, MA; Smithfield, RI • Compliance subject matter expert for digital adoption, retail brokerage e-communications initiatives including social media, customer e-mail, instant messaging, BYOD, video chat, screen sharing, chat rooms, alerts, and e-delivery. • Subject matter expert for books and records and firm’s compliance with SEC, FINRA and MSRB rules. • Reviewed new products and services and fundamental compliance support for retail brokerage business • Implemented web-based supervisory policies for… Show more • Compliance subject matter expert for digital adoption, retail brokerage e-communications initiatives including social media, customer e-mail, instant messaging, BYOD, video chat, screen sharing, chat rooms, alerts, and e-delivery. • Subject matter expert for books and records and firm’s compliance with SEC, FINRA and MSRB rules. • Reviewed new products and services and fundamental compliance support for retail brokerage business • Implemented web-based supervisory policies for retail brokerage and Fidelity’s Capital Markets organizations, replacing legacy paper-based manuals.

• Senior Project Manager

  • May 2000 - Mar 2003

  Boston, MA • Reviewed and analyzed all policies & procedures for FMR Co. Investment and Adviser Compliance and the Commission Uses and Market Data Administration group; • Led team in the evaluation of the suitability of adapting a third-party asset management product for use as a new market data services administration tool and organized a search for a new Market Data Service product.



BARING ASSET MANAGEMENT LIMITED

• Financial Services
• 1 - 100 Employee

• VP Head of Investment Operations

  • Mar 1994 - May 2000

  Boston, MA Responsible for ensuring US investments of the BAM group were compliant with mandates, restrictions, and regulatory limitations. Investments comprised over $4 billion invested for mutual funds, US pension funds and trusts, and global clients with US mandates. Managed the administration of client take-on and support, dealer support, and investment reference data integrity and maintenance

• IT Project Manager

  • Apr 1990 - Mar 1994

  London, United Kingdom



Hill Samuel

• United States
• Financial Services
• 1 - 100 Employee

• IT Project Manager

  • Jun 1986 - Mar 1990

  London, United Kingdom



CAP Group plc

• Staff Manager

  • Jul 1978 - Jun 1986

  London, United Kingdom