Leonard Nieves

Partnered with management to formulate and execute business strategy, plans, best practices, policies, and procedures. Drive efficiency and create scalability for Trading, Middle Office, Operations, and Accounting. Led a 6-person Operations team to effectively support investment operations, operational controls, technology systems, administrative requirements, and reporting procedures. Direct efforts to allocate and confirm trades, review unmatched and failed trades, manage treasury, perform wire processing, handle corporate actions, conduct daily performance calculations, open accounts, process capital activity, and private deals, and reconcile expenses and transactions. Oversee operations due diligence, compliance, system implementations, controls, and continuous process improvement. Build and maintain key relationships with third parties including Prime Brokers, Custodians, and Administrators.

• Collaborated with legal, accounting, and other professional teams to review and maintain compliance with regulations.
• Cultivated a company-wide culture of innovation and collaboration.
• Communicated business performance, forecasts, and strategies to investors and shareholders.
• Represented the organization at industry conferences and events.
• Maintained P&L and shouldered corporate fiscal responsibility.
• Established performance goals for the department and provided methods for reaching milestones.
• Established and maintained strong relationships with customers, vendors, and strategic partners.

Oversaw equity settlements for all Far East and Pacific Rim markets. Interacted daily with international and domestic local brokers, clearance clients, and sales personnel on problem trades and fail control. Managed cash and security reconciliation.

• Championed innovation within the organization by fostering an environment where new ideas were encouraged, evaluated, and implemented when appropriate.
• Formulated mathematical or simulation models of problems, relating constants, and variables, conflicting objectives and related numerical parameters.
• Monitored corporate policies and procedures, ensuring compliance with federal regulations.
• Created models to forecast and predict quantitative and comparative evaluations of various business solutions.
• Collaborated with senior leadership on the development of long-term strategic goals for improved operational performance.
• Coordinated with multiple departments to ensure seamless execution of key projects across all functional areas of the organization.

• Streamlined and monitored quality programs to alleviate overdue compliance activities.
• Strengthened merchandising and promotional strategies to drive customer engagement and boost sales.
• Recruited, interviewed and hired employees and implemented mentoring program to promote positive feedback and engagement.
• Completed regular inventory counts to verify stock levels, address discrepancies, and forecast future needs.

• Conducted regular reviews of operations and identified areas for improvement.
• Collected, arranged, and input information into database system.
• Negotiated favorable contracts with vendors, securing high-quality products at competitive prices.
• Optimized customer experience by delivering superior services and effectively troubleshooting issues.

• Networked to identify potential new clients and expand geographic territories.
• Provided training for junior staff members, building a strong foundation for future success in their roles as Trade Support Analysts.
• Built and deepened productive relationships with prospective and competitive customers to drive sustained growth.
• Educated and worked with clients on ROI terms to find accurate solutions.
• Facilitated efficient trade settlements by liaising with custodians, brokers, and counterparties on a daily basis.

• Increased sales revenue with targeted marketing campaigns and strategic product positioning.
• Transformed underperforming departments with strategic planning efforts focused on process improvement.
• Oversaw daily operations of a busy office environment, ensuring tasks were completed efficiently and accurately.
• Listened and responded to customer requests and forwarded necessary information to superiors.
• Built and managed relationships with key clients and partners to drive growth.
• Optimized customer experience by delivering superior services and effectively troubleshooting issues.
• Attended training programs to deepen professional skillset and assisted in training fellow store associates on existing and new training programs.