Tom Kelly

About Tom Kelly

Seasoned leader with extensive experience, management and oversight of critical financial securities operations and supporting technology processes. Proven expertise in managing cross-functional teams, enhancing data integrity, risk management and driving process improvement across trade support and financial product operations. Seeking to contribute strategic and operational value-add to a dynamic financial institution.

Experience

1. Associate Director

   瑞银集团

   Jul 2001 — Present

   WMA Instrument and Pricing, UBS Group Operations Technology Office Data ProducerLead data governance and control for financial instruments and pricing within the security and pricing static reference data mastering system. Engage downstream data clients to ensure accuracy and improve systems integration, leveraging prior customer service support experience.•Spearhead multiple special projects such as driving the creation of processes and standards to reconcile the UBS Security Master database with the existing universe of SPAC securities across domestic equity exchangesPrivate Wealth Management Relationship ManagerDelivered specialized “white-glove” support in partnership with Private Wealth Management branches to escalate and resolve complex service needs for ultra-high-net-worth clients.•Drove collaboration with Private Wealth Management branches to initiate “best practices” improvements for client-centric needs and solutions.Team Lead, Cap. Markets Trade Support | Equity Plan Advisory ServicesManaged multi-disciplinary team of Series 7 licensed reps responsible for product and operational assistance with: Equities, Options, Taxable Fixed Income, Municipals, Structured Products, FX/Futures, Precious Metals and Employee Stock Option Plans, while also supervising teams supporting Investment Solutions, Technical Support, Mutual Fund, Insurance and Alternative Investment inquiries•Collaborated with business partners to orchestrate service improvements and training for staff on new trading platforms and services, such as a new discretionary trading platform.•Maintained low error rates while executing over trades annually in extended hours and employee trading.•Led emergency trading operations during outages; executed over 350 trades without error during one incident.•Contributed to compliance and reporting by overseeing OATS stats and surveillance reporting.•Acted as SME in system development, training delivery, and trade policy enforcement.