Dominick Dal Pizzol
Cary,NC
Summary
Business Transformation | Risk Management | Process Improvement
Highly accomplished senior executive successful in building and motivating dynamic teams as a catalyst for driving organizational success in the Investment Banking, Finserv and RegTech sectors. Demonstrated repeated success leading the design, development and implementation of strategic and innovative business transformation across diverse market segments. Highly results-oriented and proactive in finding opportunities for KPI improvement to maximize revenue growth.
Overview
12
12
years of professional experience
1
1
Certification
Work History
DIRECTOR - Proxy Services and Transfer Agent Partn
Issuer Direct Corporation
05.2021 - Current
- Oversee Corporate Governance and Registered Stock Transfer Agent divisions of a NYSE listed issuer service focused communications and compliance company. Led design and execution of major business transformation initiatives to elevate business performance, profit optimization, and growth opportunities.
- Manage cross-functional team of 16 throughout 4 locations; NC, NY, UT and WA.
- Grew departmental revenue by 240% during tenure. $9.3mm as of end of fiscal year, representing 24% of total corporate annual revenue.
- Gained market-share through targeted marketing and strategic partnerships with leading Equity Underwriters, Investment Banks, Broker-Dealers, Securities Counsel, Advisory firms, Investor Relations and Public Relations firms/agencies and leading industry partners.
- Developed and implemented Data aggregation programs resulting in actionable SWOT analysis. Provide quarterly GAAP cashflow projections, cost benefit analysis, risk assessment and risk management methods to evaluate profitability and operating efficiency.
Senior Strategic Asset Manager
Issuer Direct Corporation
04.2017 - 04.2021
- Implemented strategic account plans for key clients with complex needs that contributed to sustained 95% retention rate over a 3 year period.
- Served in consultative role to key clients, advising leadership (C-Suite) on best way to achieve short-and-long term strategic objectives.
- Drove average 20% sales uplift by identifying and targeting underserved key account areas with a customized outreach program.
- Implemented new CRM system and trained sales team on its use, resulting in 20% increase in sales pipeline visibility and 15% increase in sales conversion rates.
- Conducted market research and competitive analysis to identify new business opportunities, resulting in 30% increase in new business acquisition.
- Negotiated and closed key partnership agreements with industry-leading organizations and US/CA stock exchanges, increasing strategic alliances and growing market reach by 60%.
- Implemented process and systems improvements for firm's regulatory reporting and risk operations management process & platform to manage risk, compliance, audit and external review management process.
Director of Platform Engagement: Transfer.ly
Issuer Direct Corporation
04.2017 - 04.2020
- Led build and deployment of Transfer.ly, a portal for public and private entities seeking access to capital markets through Reg S, Reg D, Reg CF and Reg A Tier/1 & 2 Capital Raise / IPO.
- Advised clients on capital raising methods and leveraged capital markets contacts/relationships resulting in successful execution of 30+ debt and equity financing deals totaling $300+mm.
- Provided SEC/FINRA compliance and regulatory guidance on 7 successful IPOs totaling $140mm: Adomani, Inc. 14.3mm IPO NASDAQ. Chicken Soup for the Soul Entertainment, 30mm IPO NASDAQ. FAT Brands Inc. 24mm IPO NASDAQ. Level Brands, Inc. 12mm IPO NYSE. True Leaf Brands, Inc. 10mm OTC/CSE. iConsumer, Inc. 30mm IPO OTC. Acrimoto Inc. 19mm NASDAQ.
- designed, beta tested and implemented cloud-based platform integrating transfer agent, AML/KYC, payment and investment processing functionality.
- Grew product visibility through development of strategic partnerships with industry leading companies/firms throughout the Capital Markets/Banking, Legal, FinTech and RegTech sectors.
- Successfully structured and negotiated sale of platform and its propitiatory data and systems in 2020. Supervised off-boarding and transition implementation with buyer and its affiliates.
Vice President - Fixed Income Trading and Sales
Nathan Hale Capital, LLC
01.2012 - 03.2017
- Traded Fixed Income (Treasury, Municipal and Mortgage and Asset Backed Securities MBS/ABS/CMO/RMBS) for a well capitalized regional fixed income broker-dealer. Assessed market liquidity and executed secondary market orders through inter-broker-dealer platforms and primary dealer desks on daily basis with average monthly volume over $20b.
- Managed $800mm of fixed income portfolios. (short-term high yield strategy & short to intermediate investment grade taxable and tax-free strategy).
- Designed and implemented strategies to execute large sell orders (over $1b) of off-run securities through block trades.
- Assisted high-net-worth clients and high tier producing sales team members with fixed income strategies and portfolios (bond swaps, bond ladders, barbell ladders and TEY analysis).
- Led and worked with risk management teams to aggregate portfolio risk monthly and performed attribution analysis, scenario tests by utilizing proprietary and external risk and analytic systems such as Blackrock Aladdin, YieldBook and eVestment.
- Worked closely with syndicate desks to bring in reverse inquiries across various products including esoteric securitizations.
- Implemented quantitative hedging strategies vs. convexity, volatility and duration. Reconciled fixed income trade blotters, prepared monthly FINRA & MSRB reports, and monthly fixed income revenue reports.
Vice President of Fixed Income Trading and Sales
Murphy Durieu, LLP | Citation Financial Group, L.P
02.2012 - 02.2015
- Recruited and tasked to build, staff and manage fixed income inter-broker-dealer trading desk at Murphy Durieu, LLP and proprietary trading desk at its wholly owned subsidiary, Citation Financial.
- Networked within broker and primary/regional dealer community to recruit and hire talent throughout MBS, RMBS, CMBS, ABS, CMO, RMBS and pass-through trading and sales product sectors.
- Grew broker desk from 2 members to 23 members, with average revenue per broker exceeding $480k per year during tenure. Grew prop-desk from 2 traders / $5mm allocated to 10 traders / $110mm allocated capital yielding 18.4% ROI.
- Implemented Low-Beta trading and hedging strategies focused on High-Income and Alpha, delivering historical Sharpe ratio of ~3(gross). Agg Plus Alpha strategy routinely outperformed the Bloomberg Barclays Aggregate index by a factor of 2.
- Provided consistent market updates to traders and lead biweekly market focus meetings to identify mispricings and arbitrage strategy.
- Provided monthly P&L, attribution analysis, scenario testing and return metrics (VaR, CvaR, RAROC), Managed risk and drawdown to minimize capital erosion.
Education
Bachelor of Arts - English Language And Literature
Iona University
New Rochelle, NY05.1994
Skills
- Go-to-Market Strategy
- Enterprise initiatives
- Cross-functional Team Leadership
- Stakeholder Management
- Strategic Planning
- GAAP and Regulatory compliance
- Financial Modeling
- Risk Management and Mitigation
- Debt and Equity Capital Raises
- M&A Strategy
Certification
Data monetization Strategy - August 2022
MIT Sloan School of Management, Cambridge, MA
Predictive Data Analysis - August 2021
Cornell University, Ithaca, NY
Timeline
DIRECTOR - Proxy Services and Transfer Agent Partn
Issuer Direct Corporation
05.2021 - Current
Senior Strategic Asset Manager
Issuer Direct Corporation
04.2017 - 04.2021
Director of Platform Engagement: Transfer.ly
Issuer Direct Corporation
04.2017 - 04.2020
Vice President of Fixed Income Trading and Sales
Murphy Durieu, LLP | Citation Financial Group, L.P
02.2012 - 02.2015
Vice President - Fixed Income Trading and Sales
Nathan Hale Capital, LLC
01.2012 - 03.2017
Bachelor of Arts - English Language And Literature
Iona University
Data monetization Strategy - August 2022
MIT Sloan School of Management, Cambridge, MA
Predictive Data Analysis - August 2021
Cornell University, Ithaca, NY
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