Peter L.

Skills

Financial Expertise: Securities clearing and custody, regulatory compliance, capital raising (Regulation A, CF, and D).
Technical Proficiency: NetX360, Salesforce, FIX, Euroclear, SWIFT, Bloomberg, Microsoft Office Suite.
Leadership & Management: Strategic planning, process improvement, vendor relationship management.
Soft Skills: Cross-functional communication, conflict resolution, team leadership, customer service.
Compliance Knowledge: AML/KYC, OFAC, FINRA, World Compliance, World-Check, Lexis Nexis.

About

Proven ability to build alliances, develop and manage business relationships of clients and vendors alike. Possess a strong background in all aspects of the Financial Service industry including but not limited to trading, connectivity, securities clearing, and custody. Navigate the process of raising capital via various regulated offering vehicles. Continuously become educated of new products, market, and regulatory practices. Competency to apply new concepts towards existing procedures and projects, implement process improvement and productivity while reducing risk and exposure. Dedicated to driving success with integrity.