Financial Services

Online Investment Advisory

Compliance

Established the compliance related components of a newly created RIA, including the ADV & disclosure statement content & filings, initial Compliance Manual creation, and client agreements.

Product Development

Responsible for selection and initial business requirements for a portfolio accounting system, trade management system, & settlement services; collaborated on the establishment of an independent broker / dealer, including the integration requirements between the broker dealer and RIA for a $2 million startup company.

 Banking Industry

Business Process Re-engineering Project

Member of project team led by Big 3 Management Consultant firm. Achieved successful completion of a five (5) month engagement with the wealth management practice of a major North American financial institution. Resulted in quantifying $ 40.5 MM in annual savings over 9 years.

 Technology Services

Fitness Center and Retailer

eCommerce

Working with a major regional fitness business to improve an e-commerce backend transactional system to reduce manual processing effort required. Work with a team of developers to merge the recently acquired nutritionals business with the existing fitness business. The web applications are built using LAMP and support both B2B and B2C. When the project began there were over 200 recorded issues to be resolved with the application.
Result: In just 8 months, our team was able to resolve many of those issues and reduce the number of open issues by more than 55%.

Retail Department Store

Improve Financial Accounting Process
Our team developed and implemented a custom invoice match application within the Lawson Financials Suite to provide more accurate accounting of financial and Trades Payable data.
Result: Reduced account reconciliation time from 3 weeks each month to two days.

Vendor Portal and Extranet Development
Built a vendor portal to be the primary vehicle for communication and collaboration with trade and merchandise vendors. The portal housed both internally developed and off the shelf software applications used collaboratively by merchandise buyers and their vendors.
Result: The entire project was completed and launched in only 12 weeks.

Enterprise Intranet Site
Development and deployment of a fully functional intranet website. The basic functionality was built and available in just 3 weeks with full business content complete in less than 4 months.
Result: Provided the stores organization with a method to deliver division-wide applications and reports. Provided Internal Communications with a consistent way to communicate key information enterprise wide. Gave individual work groups a collaborative work environment for document sharing.