Experience

Continental Stock Transfer & Trust Company

• United States
• Financial Services
• 100 - 200 Employee

• Chief Operating Officer

  • Jan 2016 - Present

• Vice President Director of Dividend Paying Services

  • Oct 2013 - Jan 2016

  17 Battery Place, 8th Floor Responsible for Specialized Services: • Dividend Payments • Abandoned Property Reporting, • Account Maintenance, • Check Reconciliation, • IRS Tax Reporting, • Research • Dividend Reinvestment • Reviewing all aspects of the operations model with a view towards improving client and shareholder experience while streamlining processes to achieve greater productivity



Computershare

• Australia
• Financial Services
• 700 & Above Employee

• Managing Director

  • Jan 2012 - 2013

  Jersey City, New Jersey •Overall responsibility for a $60 million operation, managing approximately 70 official, supervisory, clerical, and support staff with emphasis on budgeting, outsource initiatives, restructuring, straight through processing, and quality control. •Strong focus on corporate governance, regulatory compliance, as well as internal and external audit requirements. •Career highlights include operations management of the largest M&A deal in 2008, Inbev acquisition of Anheuser Bush. •Led… Show more •Overall responsibility for a $60 million operation, managing approximately 70 official, supervisory, clerical, and support staff with emphasis on budgeting, outsource initiatives, restructuring, straight through processing, and quality control. •Strong focus on corporate governance, regulatory compliance, as well as internal and external audit requirements. •Career highlights include operations management of the largest M&A deal in 2008, Inbev acquisition of Anheuser Bush. •Led corporate level multi million dollar initiative to revamp the tax reporting and compliance process to meet regulatory requirements for the Stock Transfer and ESPP/ESPS products. •Effective leader with a proven track record of re-engineering poorly performing operations by increasing productivity, reducing losses and thru technology enhancements. Please note, Computershare acquired BNYMellon Shareowner Services on January 1, 2012. Show less



Bank of New York Mellon

• Managing Director

  • Jul 2007 - Dec 2011

  Same position as above. BNY Mellon Shareowner Services was acquired by Computershare on January 1, 2012.



Bank of New York

• Vice President

  • Jan 1998 - Jun 2007

  New York, New York •Directed a $40 million operation, managing approximately 220 official, supervisory, clerical and support staff with emphasis on budgeting, outsource initiatives, restructuring, straight through processing, and quality control. •Strong focus on corporate governance, regulatory compliance, as well as internal and external audit requirements. •RFP, sales and pricing support for corporate action processing deals, including consultative work with prospects and clients on M&A operational… Show more •Directed a $40 million operation, managing approximately 220 official, supervisory, clerical and support staff with emphasis on budgeting, outsource initiatives, restructuring, straight through processing, and quality control. •Strong focus on corporate governance, regulatory compliance, as well as internal and external audit requirements. •RFP, sales and pricing support for corporate action processing deals, including consultative work with prospects and clients on M&A operational set ups. •Design and implementation of outsource solution for off shore data entry functions, reducing fixed and variable operating expenses. New operating model included reduction of 40 clerical positions for $1.1M in annual savings combined with contractual service level standards ensuring quality output. •Design and implementation of outsource solution to reduce fixed and variable operating expenses associated with corporate action processing. Initiative increased divisional product offering, provided operating flexibility and delivered consistent increase to operating margin of $1.6M annually. •Active member in industry groups including Stock Transfer Association (STA), DTC. Former chair of STA Processing sub-committee. •Commitment to client engagement, BNY’s Client first quality programs, Six Sigma methodology. •Effective leader with a proven track record of implementing straight thru processing resulting in improvement of underperforming operations. •Insured regulatory compliance with internal and external policies through creation and implementation of internal pre-audit.

• Assistant Vice President / Group Head Corporate Trust

  • 1998 - 1999

  Greater New York City Area Managed Tax Reporting Unit, abandoned Property, Compliance, Estoppel/Legal Review and Claims Unit. Coordinated system enhancements/modifications with vendor resulting in increased efficiencies and productivity. Reorganized and restructured department cut operating expenses by increasing efficiencies through automation. Developed departmental procedures and guidelines resresulting in cost savings and increased productivity. Interfaced with Depository trust Company as well a SIC.