Providing advisory and consulting solutions to integrate processes, technology, governance, mindsets, behaviors, and capabilities to mitigate risk and create more productive work environments for medium to large businesses. Amplifying business performance by creating and extracting more value from existing organization.

COO/Product Management, responsible for end-to-end product management, strategic and functional development of UBS’s Equity Trading/10b5-1 and Precious Metals businesses. Served as a cross-functional leader collaborating between marketing, legal, compliance, operations, trading and IT to drive new business initiatives and manage trading/operations technology platform roadmap. Managed trading and operational risks, ensured regulatory (FINRA, SEC, Dodd-Frank), legal and audit compliance.

Managed a team of 12 relationship specialists responsible for 10b5-1 trading plan management, restricted stock sales, as well as stock option exercises for high net-worth clients/corporate insiders. Collaborated with clients to assess individual financial objectives and develop trading/hedging strategies. Supervised department’s R144 restricted stock approvals, SEC filings and affiliate stock option trades.