Summary

Project Management, Business Analysis, Administrative Management, Financial Services, General Management Consulting, Professional/Scientific/Technical Services, Financial Services: Operations, Compliance, Trading, Regulator Mandated Remediation, Mergers, System Conversions and Start-ups Broker Dealer, Banking, Risk Oversight, Equities, Options, Fixed Income, Operation Controls, Custody, Self-Clearing, Off-Shore, FINRA License 7, 63, 24, 53, 55, 4 (Prev Held).

Description

Boutique Consulting Firm engaging in Financial Services, Project Management, Business Analysis, Regulator Mandated Remediation Services –Operations, Compliance, Trading, Mergers, System Conversions and Start-ups. - Administrative, Management Services, General Management Consulting, All Other Professional/Scientific/Technical Services, Services, International Affairs, Other Management Consulting, Securities and Commodity Exchanges, Miscellaneous Financial Investment Activity FINRA Licenses 7 , 63 & 24 55, 53, 4, Previously Held

Special details

Millennium Capital - Managed UK Fixed Income Operations and Prime Brokerage reconciliation post Lehman collapse; HSBC - Managed Trading & Risk Oversight controls for HSBC Brokerage (USA), HSBC Private Banking (USA), and HSI Canada Retail Trading in accordance with Corporate Governance; Fidelity Investments - Transferred to Fidelity UK to mitigate operational risk and manage UK books & records remediation; BofA/ML - Contracted to audit & review operational risk associated, HNW International Trade Execution and Cash Management Processing for London & Geneva; Fidelity - Prep for SEC self-reported review of Correspondent Broker Dealer Agreements with respect to minimize risk of time sensitive prospectus delivery discrepancies; State Street - LCARS (Legal) In accordance with Corporate Governance infrastructure support mapping Bankruptcy Play Book for Federal Reserve, Dodd Frank requirement.

Profile

  • Incorporated in
    Massachusetts
  • Established since
    2008
  • Main/Branch
    Branch

Address