Nicholas A. Wofsy

• Company Overview: Steward Partners is a Broker Dealer catering to family, institutional and multi-generational investors
• Executive responsible for process re-engineering efforts as well as created efficiencies by implementing process improvements across different business units as well as custodial relationships
• Implemented new processes for custodian billing, fee schedule distribution, new account opening
• Created over 50 new operational procedures to improve Advisor and Home Office Workflows
• Main contact for Pershing custodial relationship working with Senior members of the organization to improve the broker dealer relationship
• Conducted analysis of current operational processes and identified opportunities for optimization
• Lead representative for Pershing Custodial relationship working on strategic and tactical projects to improve the usability of the platform
• Established and monitored key performance indicators for operational services for custodial platform
• Collaborated with multiple departments including operations, IT, Trading, Asset Movement, Product and Finance to assist with aligning the cross functional projects
• Facilitated communication and coordination across different business units on the changes and enhancements with the Pershing and Raymond James Custodial relationships
• Partnered with members of IT to recommend technology solutions to enhance service delivery
• Assisted with the evaluation of emerging technologies and their potential impact on operational services which drove digital transformation
• Developed and created Operational Procedures for a wide range of topics such as Alternative Investments to increase the efficiency of external and internal systems with the Home Office Operations staff, Advisors and Sales Assistants
• Worked closely with the Director of Operations to assist with providing institutional knowledge on Pershing’s products and services
• Steward Partners is a Broker Dealer catering to family, institutional and multi-generational investors

• Company Overview: Glorifi develops a financial technology platform that provides investment options, insurance facilities, and other financial management services
• Established an integrated operating framework from the ground up (including policies, processes, and technology) governing all Brokerage Operations at a financial technology startup organization in preparation for a global software rollout
• Defined a vision and long-term strategy (encompassing operational readiness, staffing, and regulatory compliance) to ensure commercially successful platform launch
• Developed key policies and procedures for Operational Broker Dealers that are standardized, scalable, and informed by industry best practices
• Partnered with Product Management, Compliance, and IT personnel to ensure customer needs and regulatory requirements were effectively incorporated into the product roadmap
• Designed AML, KYC, and CIP review procedures to strengthen regulatory compliance posture
• Collaborated with a third-party vendor (INNREG) to author operationally compliant supervisory policies
• Drove process improvement efforts to optimize mission-critical workflows related to the development of credit card and technology stacks
• Currently pursuing other opportunities after the Executive Committee made the decision to wind down the firm due to lack of investor funding
• Glorifi develops a fintech platform that provides investment options, insurance facilities, and other financial management services

• Company Overview: Global financial solutions provider, and subsidiary of The Bank of New York Mellon with $1.9T in assets under administration
• Provided leadership, oversight, and strategic direction for a team of five Senior Client Implementation Specialists to steer the full cycle solution implementation process, act as main point of contact for Pershing customers, deliver a highly differentiated customer experience, and ensure value realization of clients’ investments in Pershing products and services
• Managed the Senior Client Implementation Group to ensure seamless deployment and adoption of 5-10 new customer applications annually; ensured clients were optimally positioned to effectively monetize their investments in Pershing software
• Partnered with Executive Committee members to develop a unified, formalized, and efficient implementation framework and rollout plans influencing all 900 global customers
• Designed Project Management plans governing software implementation, rollout, and iteration
• Implemented the following modules: Voluntary Reorganization, FINRA CAT Compliance, New Advisor Registration Master, Client-Boarding, and Client Centric Modules
• Developed standardized and repeatable implementation SOPs; contributed $2-3MM in incremental sales
• Streamlined speed-to-market and enhanced product adoption for all technology enhancements
• Global financial solutions provider, and subsidiary of The Bank of New York Mellon with $1.9T in assets under administration

• Company Overview: Global financial solutions provider, and subsidiary of The Bank of New York Mellon with $1.9T in assets under administration
• Led a team of 15 Senior Service Experience Analysts to ensure timely and accurate responses to servicing inquiries from 900+ Broker Dealer and RIA clients on a global level
• Provided guidance, support, and strategic insights in the areas of system navigation, integration, and tax and client documentation
• Developed key strategies to strengthen account-level relationships, deliver a frictionless and value-added customer support experience, and mitigate organizational risk
• Served as go-to resource and subject matter expert (SME) for the Citi Service Team, the company’s largest client; leveraged call analytics to overhaul the service model, optimize call routing, introduce a Spanish line, and diversify phone selections
• Designed robust Call Center protocols, policies, and procedures to control and mitigate risk
• Partnered with C-level executives to review departmental KPIs and capitalize on improvement opportunities
• Served as NETX360 Workstation SME and evangelizer for the new NETX360 Wealth Platform; drove sustained increases in product adoption/utilization
• Authored operating procedures for a proprietary saving system used for block trading and rebalancing
• Increased the breadth and scope of team member responsibilities; transitioned from a reactive customer service approach to a proactive, partnership-based, and solution-driven model
• Consistently met established SLA goals; recognized with the Pershing Quality Cup Award (2016) for delivering a white glove customer experience (as evidenced by exceptional client survey results)
• Global financial solutions provider, and subsidiary of The Bank of New York Mellon with $1.9T in assets under administration

• Company Overview: Global financial solutions provider, and subsidiary of The Bank of New York Mellon with $1.9T in assets under administration
• Reporting to the Manager of Pershing’s Account Management and Client Service, led a 12-member team of Account Managers to manage and develop key customer accounts collectively generating $75-200MM in annual revenue
• Ensured the seamless rollout and maximal adoption of 10+ new applications on the Pershing platform on an annual basis
• Led the team to manage a suite of customer implementations for a block trading and rebalancing tool; launched across 100 firms to deliver $500K+ in incremental revenue
• Accelerated the growth of incremental revenue opportunities (such as no-load mutual fund programs and brokerage annuity programs) to deliver $2MM+ in bottom-line impact per annum
• Designed a project plan and led the team to deploy Pershing’s new Advisor/Back-Office workstation (NetX360) to 110K+ users and 1.1K+ broker dealers globally; unlocked $2MM in additional revenue and retired the legacy platform to achieve $5MM in annual cost savings
• Served as Product Manager and System Owner for Pershing’s Compliance Systems (CVIEW); periodically incorporated regulatory changes with the Chief Compliance Officer, managed new releases, and rolled out upgrades to new/existing clients
• Established the Dedicated Service Group to manage ~140 previously neglected small accounts; delivered an attentive and focused customer experience, successfully saving multiple accounts from closure
• Developed a customer segmentation model and structured sales process to identify and capitalize on sales opportunities; delivered a 50% lift in sales as a result of the initiative
• Built mentor-mentee relationships with team members; provided professional development and career growth opportunities to incentivize and inspire high performance
• Global financial solutions provider, and subsidiary of The Bank of New York Mellon with $1.9T in assets under administration

Account Manager to 20 relationships, including Metlife.