CEO Securities Resume Sample

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CEO • Senior Executive • Group General Manager • Divisional Manager
Associate, Securities Institute of North America

Strategic senior executive accustomed to large-scale global operations in diverse cultural environments. Expert in distilling and managing processes, enhancing internal structures, and promoting multi-skilled team competencies via nurturing mentorship and inspirational leadership. Engagements have spanned operational, strategic, technological, and change management roles, culminating in executive directorship of a global investment bank and regional leadership of operations in Hong Kong, Singapore, Indonesia and Korea.

Professional strengths include

  • Multi-site, Multicultural Operational Management
  • Global Vision Planning
  • Strategic Planning
  • Customer Relationship Management
  • Process Reengineering
  • Productivity Improvements
  • Project Management
  • Team Leadership
  • Issues Management
  • Expectations Management
  • Change Management
  • Risk Assessments
  • Cost Optimization and Containment
  • Consensus-Building/Mediation
  • Government Compliance Issues
Business Experience

BANK OF HONG KONG, Hong Kong 7/2003–Present
Regional Head of Asian Equity Operations/ Head of Hong Kong Security Operations
Promotion to steer security operations in Hong Kong, quickly expanded into a dual operational role across a vast geographical area negatively impacted by a globally “flat” finance industry and the negative impact of SARS. Compounding these issues was a steep decline in regional office morale and executive directors openly voicing policy concerns.

These external and internal forces became the catalyst for embarking upon a comprehensive program as a corporate imperative to reduce costs, improve efficiencies, support sales with new product development for revenue growth, and repair relationships.

Major Project Contributions:

Devised business case summarizing efficiency, cost, and productivity benefits of a proposed technology upgrade poised to transition existing financial settlement systems to a standardized global platform.

Winning the green light from the Board of Directors, delivered the multi-phased technology project from concept through successful implementation. With any error having the potential to cost millions in lost revenue, the project impacted 13 Asian markets, global clients, and the bank’s Asian equity business globally, necessitating meticulous testing and implementation.

Managed stakeholder expectations and communications, juggled pre- and post-implementation resources, analyzed alternate options, drove project timelines, and reinforced the critical need for “plug-in” components to meet the unique needs of the region. The project delivered on all key criteria:

  • Cut $1 million in technology costs annually through reduced need for redundant hardware and elimination of maintenance contracts.
  • Saved $5 million through reduced headcount and improved efficiencies.

Elevated customer satisfaction via faster, streamlined electronic services that surpassed output from the previous system. Clients now experience receipt of rapid electronic contracts, with less administrative input required.

Business Experience

Other Contributions/Highlights

  • Delivered service improvements and reduced errors through a role consolidation process that eliminated the duplication of tasks between London and Asia for clearing and settling Asian market trades. Time zone advantages of centralizing the processing to Asia offered clients improved and faster service, cut duplicated information flows, and reduced labor costs.
  • Conducted comprehensive review into the organization’s compliance with Eurobank directives for managing equity business. Scrutinized client locations, communication methods, local market constraints, tax implications, and costs of compliance to deliver a set of alternate options.

Regional Head of Client and Trade Date Services (C&TDS) (11/2000–7/2003)

Presided over daily “middle office” operations, controlled information flows, reconciled trades, and measured performances as a basis for continuous improvement. Nurtured client relationships, assessed risk, and ensured compliance with labor costs and productivity targets.

Key contributions:

  • Identified operational inconsistencies between New Zealand, United States, Australia, Taiwan, Korea, and India and initiated a definitive case for changing to the Asian booking model that would seamlessly integrate with the proposed transition to a global platform and meet all legal and compliance issues.
    With no additional resources allocated for the project, won buy-in from stakeholders in London, United States, and Australia to support the initiative. Personally reengineered processes, sought and achieved sign-off from tax, legal, and compliance experts, and influenced acceptance for change from clients.

Results were impressive:

  • Client service improved through a global operation.
  • Generated savings of $50K annually through reduced need for staff supporting business in United States and London.
  • Spearheaded new quality initiative designed to identify and resolve issues surrounding systems in London and Hong Kong that impacted clients or controls. Instigated process for categorizing issues, producing reports, and established a forum for prioritization and resolution. Secured additional $2.2 million in funding to develop protocols fully.
  • Analyzed, developed, and won widespread stakeholder acceptance for implementing significant cultural and organizational change via the Follow the Sun model. Initiative exploited opportunities to provide service globally through the concept of one operation on three “shifts” in Hong Kong, London, and Stamford, replacing three separate enterprises operating individually with duplicated processes. The project was an outstanding success reducing the time to forward contract notes alone, by 60%.

Head of Sales Support (1/2000–11/2000)

Role created specifically to provide an “introduction” to Hong Kong operations prior to senior-level appointment.

  • Established new CRM program designed to support traders and sales staff in Asia Pacific, London, and United States for Asian equity business. Central point of contact for client-specific needs, and operational issues.
  • Eliminated potential for error, and reduced task duplication, by launching the implementation of an STP link that automated the production of contract notes and trade settlements. Productivity improvements prompted 30% reduction in labor costs through staff reductions. Identified 350+ non-standard “exceptions” cut to 10 just prior to the implementation.
    Business Experience

    POTTER MARBURN SECURITIES PTY LTD, California 9/1994–1/2000
    Head of Private Client Operations (4/1998–1/2000)
    Chairperson of Private Client Operations (3/1996–10/1997)
    Head of Operations / Associate Director (8/1995–3/1998)

    Summary of major accomplishments (1994–2000)

    • Restructured operations for greater efficiencies and compliance. Personally produced the first money laundering policy for the company—a [then] revolutionary change that eliminated ad hoc accounts opening by sales teams, complete with strict and documented internal controls.
    • Devised process that leveraged capabilities of Singapore to prepare Australia for future global business growth subsequent to a takeover by the Bank of Hong Kong.
    • Completed separation of two distinct equity operations within ten days of merger, with no loss of business due to system or process failures. Divided staff to appropriate areas, communicated with the Stock Exchange to ensure no loss of priority for open orders, changed systems, and allocated clients.
    • Delivered a series of cost savings through the centralization of operations, re-negotiation of information services contracts, and astute management of working capital.
    • Established management systems and processes to ensure segregation of duties, controls, and management reporting for operations.
    • Launched the “Private Client Operations and Risk Committee” to address divisional management void.
    • Managed risk exposure overseeing policy formulation, compliance enforcement, credit, and business.
    • Formulated and steered future operational visions for systems, processes, and procedures.
    • Cut administrative costs subsequent to comprehensive review of credit control protocols.
    Prior Engagements
    • Equityman Ltd, Senior Research Analyst
    • Cruickshank, Melon & Co, Senior Research Analyst: Industrial Sector
    • National Securities Corporation, Project Officer
    • Target Pty Ltd, Merchandise Manager, Personnel Manager
    • California Department of Education, High School Mathematics & Science Teacher
    Education & Training

    Master of Business Administration
    University of California

    Graduate Diploma of Securities
    The Securities Institute of Hong Kong

    Bachelor of Science
    University of California

    Graduate Diploma of Education
    University of California



    Additional Training:

    Power of Process, Warwick University (UK) • Leading a Winning Team • Senior Executive Program • Harassment / Discrimination Prevention Program • Managing Strategic Change • Alchemy Program for Senior Executives (INSEAD, France) • Hedge Fund Fundamentals • Global Leadership and Diversity Program • Leadership in a Global Organization • Leadership • Strategic Influencing & Networking • World Competitive Management


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