DJ Dal Pizzol
Issuer Services
Cary,USA
Summary
Results-driven senior executive with a proven track record of building and inspiring high-performing teams in Investment Banking, FinTech, and RegTech industries. Experienced in leading strategic, innovative business transformations across diverse sectors, consistently delivering measurable success. Skilled in identifying opportunities for process optimization and KPI improvement to drive revenue growth and enhance operational efficiency.
Overview
31
31
years of professional experience
1
1
Certificate
Work History
Director - Proxy Services and Transfer Agent Partnerships
Issuer Direct Corporation
05.2021 - Current
- Manage the Proxy the Proxy and Stock Transfer Agent divisions for a NYSE-listed issuer services company. Spearheaded the design and implementation of transformative business initiatives to enhance performance, optimize profitability, and drive growth opportunities
- Leveraged deep expertise as a subject matter expert to support key accounts, facilitating successful project outcomes and long-term client partnerships
- Led efforts in new client acquisition, specializing in high-impact sales strategies. Drove revenue growth through aggressive lead generation, pipeline management, and closing high-value deals
- Advise public and private Entities on Annual and Special Shareholder meetings (both contested and routine), SEC Proxy rules, regulations, and disclosure requirements. Acted as a subject matter expert in ESG and HCM proxy strategies, Shareholder solicitation and NOBO/OBO analysis. Provided guidance on SEC and exchange-specific filings, including AML/KYC compliance, quarterly/annual K/Q filings, and form 3,4,5 disclosure filings
- Provide advisory and support services for shareholder engagement and stock transfer processes, including IPOs, M&A, new issuances, stock splits, dividends, 1099a reporting, and escheatment services
- Developed strategies and tactics for handling activist activities, both as a dissident and issuer, including contested proxies and proxy fights. Analyzed ISS/Glass Lewis proxy voting trends, guide clients through rule 14a-8 proposal processes, and conducted perception studies to identify potential governance issues
- Built strategic partnerships with leading underwriters, investment banks, broker-dealers, and legal counsel to drive business growth. Identified and secured new opportunities while optimizing cross-selling strategies to enhance revenue and market positioning
- Achieved a 240% increase in departmental revenue during my tenure by leveraging SWOT analysis to identify growth opportunities, optimize strengths, and mitigate risks, driving substantial financial growth and contributing to overall company success
Senior Strategic Asset Manager, Proxy and TA
Issuer Direct Corporation
04.2020 - 04.2021
- Provided strategic consulting to key clients, advising C-suite executives on effective approaches to achieving both short- and long-term business objectives, providing actionable insights to optimize decision-making and align corporate strategies with market opportunities
- Drove average 20% sales uplift on existing accounts through targeted outreach programs that addressed underserved account areas
- Conducted market research and competitive analysis to identify new business opportunities, resulting in 30% increase in new logo acquisition
- Negotiated and closed high-value partnership agreements with industry-leading organizations and exchanges, significantly enhancing strategic alliances
- Spearheaded efforts that resulted in a 60% expansion of market reach, strengthening the company’s competitive positioning and driving growth
Director of Platform Engagement: Transfer.ly
Issuer Direct Corporation
04.2017 - 04.2020
- Led build and deployment of Transfer.ly, a SAAS 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 strategies, leveraging extensive capital markets relationships to successfully execute over 30 debt and equity financing deals, totaling more than $800+mm
- Provided SEC/FINRA compliance and regulatory guidance on 7 successful IPOs totaling $340mm
- 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 proprietary 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
01.2015 - 03.2017
- Traded Fixed Income (Treasury, Muni, MBS/ABS/CMO/RMBS) for 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/YieldBook
- 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 a fixed income inter-broker-dealer trading desk and proprietary trading desk at 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
- Performed monthly P&L, attribution analysis, scenario testing and return metrics (VaR, CvaR, RAROC), Managed risk and drawdown to minimize capital erosion
VP, Structured Financial Products
ICAP
01.2008 - 02.2012
- Facilitated block transactions between investment banks, broker-dealers and other large financial institutions on pre-eminent inter-dealer fixed income brokerage desk
- Led Risk.net League Tables in transactional volume every year during tenure
VP, Fixed Income Structured Products
Prebon Securities USA
09.1999 - 11.2007
- Recruited to establish, staff, and develop a fixed income brokerage desk, successfully growing its volume to rank second only to ICAP in league tables during tenure.
Mortgage Backed Securities Specialist
GARBAN, LLC
09.1997 - 06.1999
- Developed raw and whole-loan trading strategies for leading inter-dealer brokerage house
- Merged with Intercapital in 1999 to create ICAP
VP, Acquisition
Franklin Credit Management Corporation
06.1994 - 09.1997
- Conducted analysis, pricing, and bidding to acquire performing, sub-performing, and non-performing asset portfolios from the Resolution Trust Corporation (RTC) and other institutions.
- Oversaw the remediation of purchased assets to re-performing status and packaged the loans for sale into MBS securitization at Primary Broker-Dealers.
Education
Bachelor of Arts - English Language And Literature
Iona University
New Rochelle, NYSkills
- Strategic Planning
- Stakeholder Management
- Go to Market Strategy
- Financial Modeling
- Enterprise Initiatives
- CRM platforms
- Cross Functional Team Leadership
- Team Building and Recruitment
Certification
Data Monetization Strategy (2022)
MIT Soan School of Management
Predictive Data Analysis (2021)
Cornell University
Notary Public, North Carolina
Commission expires 11/2028
Timeline
Director - Proxy Services and Transfer Agent Partnerships
Issuer Direct Corporation
05.2021 - Current
Senior Strategic Asset Manager, Proxy and TA
Issuer Direct Corporation
04.2020 - 04.2021
Director of Platform Engagement: Transfer.ly
Issuer Direct Corporation
04.2017 - 04.2020
Vice President - Fixed Income Trading and Sales
Nathan Hale Capital, LLC
01.2015 - 03.2017
Vice President of Fixed Income Trading and Sales
Murphy Durieu, LLP | Citation Financial Group, L.P
02.2012 - 02.2015
VP, Structured Financial Products
ICAP
01.2008 - 02.2012
VP, Fixed Income Structured Products
Prebon Securities USA
09.1999 - 11.2007
Mortgage Backed Securities Specialist
GARBAN, LLC
09.1997 - 06.1999
VP, Acquisition
Franklin Credit Management Corporation
06.1994 - 09.1997
Bachelor of Arts - English Language And Literature
Iona University
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