Devin A. Russo
SMBC Nikko Securities
Robbinsville,NJ
8
years of professional experience
Results driven Operations and Risk & Controls professional with more than eight years of experience within the financial services industry. Experience includes over seven years as an Operations Associate as Broadridge followed by oversight and risk control experience at SMBC Nikko Securities.
Work History
Associate - Supervison & Controls
7 Months- Monitor and strengthen operational controls across operations to ensure compliance with internal policies, regulatory requirements, and enterprise risk management standards.
- Analyze operational incidents, control exceptions, and escalations to identify root causes, drive timely remediation, and implement sustainable process improvements with the goal of reducing operational risk.
- Develop and maintain key risk indicators (KRIs) and key performance indicators (KPIs) and performance dashboards providing senior leadership with actionable insights into operational trends and emerging risks.
- Partner with Operations, Middle Office, Compliance, Technology, and business stakeholders to enhance governance, improve processes, and strengthen the overall control environment.
- Lead and support initiatives to document, enhance, and standardize policies, procedures, and control frameworks. Improved operational efficiency and supported audit and regulatory readiness.
- Oversee and manage outsourcing relationship with Broadridge BPO ensuring SLA management and implementation.
Sr. Operations Associate
7 Years 2 Months- Managed daily post-trade operations and settlement processes for institutional clients, ensuring accurate and timely execution while consistently meeting service level agreements (SLAs).
- Investigated and resolved complex trade breaks, settlement exceptions, and client inquiries by partnering with internal teams and external counterparties to minimize operational risk.
- Collaborated with clients, custodians, brokers, and cross-functional teams to improve operational workflows, enhance service delivery, and support critical business initiatives.
- Identified process improvement opportunities that streamlined operational procedures, increased efficiency, and reduced processing errors through standardization and automation.
- Trained and mentored new team members, developed operational documentation, and served as a subject matter resource for complex operational processes and issue resolution.
Education
Bachelor of Science - Finance, Minor in Economics
Skills
BONY BDC
Broadridge Impact
BONY Access Edge
Client relationship management
Microsoft Suite
Trade settlement processing
Break resolution
Regulatory reporting
Timeline
Associate - Supervison & Controls
SMBC Nikko Securities
01.2026 - CurrentRead More
Sr. Operations Associate
Broadridge Financial Solutions
11.2018 - 01.2026Read More
Rutgers Business School
Bachelor of Science from Finance, Minor in Economics
Read More