Richard Marquis
Rye,NY
Summary
Finance professional with almost 30 years of experience and a proven track record in building/developing Securities Finance trading teams/systems, together with sales and relationship management in the Agency Lending, Prime Brokerage and Principal Borrowing/Lending space. Strong leadership and communication skills. Specialties include Securities Lending, Prime Brokerage, Financing, AI predictive analytics and Digital Assets. Expertise in Agent Lender, Broker Dealer, Beneficial Owner and Hedge Fund coverage across all strategies including Long/Short, Quant, Global Macro, Event Driven, Market Neutral and Convertible Arbitrage. Focus on Global Equity Finance, but developed strategic synergies across Fixed Income (both Corporate and Government). Proven track record in leading high performing teams to meet challenging objectives. Effective team builder that builds strong relationships internally and externally at all levels across the organization. Advocate for DEI within the firm.
Overview
27
27
years of professional experience
Work History
Project Manager
MUFG Securities
New York, NY
01.2024 - Current
- Project managing Securities Finance Regulatory Projects
- Conducted regular status meetings with internal teams and external partners to track progress against established milestones.
- Presented findings from data analysis in a clear, concise manner that was easily understood by stakeholders at all levels of the organization.
- Created Global Governance Committee across multiple entities to ensure judicious resource management and implemented effective communication protocols
- Ensured compliance with applicable laws, regulations, policies and procedures throughout the life cycle of each project.
Head of Borrow DIRECT
BNY Mellon
New York, NY
05.2022 - 07.2023
- Leading Principal/Peer to Peer borrowing and lending desk
- Translated senior management objectives and directives into actionable front-line strategies and effective policies.
- Developed unique solution to address regulatory constraints
- Drove close collaboration with sales/client service to develop organic and external client opportunities
- Created multiple revenue streams to remove singular revenue reliance
- Continue to lead AI Predictive Analytics Project (Patent Pending) for Equities
Head Cross Product Strategy and Digital Execution
BNY Mellon
New York, NY
02.2019 - 04.2022
- Led AI Predictive Analytics Project (Patent Pending) for Equities
- Involved in Blockchain/Tokenization collateral solution
- Developed non-traditional Peer to Peer/Principal hybrid product and compelling marketing strategy
- Reimagined Agency/Secured Lending facility
- Optimized Asset Class distribution and measurement across borrowers
- Designed Global Agency Borrower/Beneficial Owner monitoring
- Developed Intra-day Trading Desk reporting
Regional Head of Americas Equity Finance
BNY Mellon
New York, NY
06.2012 - 01.2019
- Elevated the US Equity Trading Desk to #1, in ISF survey
- Strategically developed trading desk functionality to optimally interact with Prime Brokers
- Developed trade structures to solve for internal and external regulatory hurdles
- Key team member of Front-End Trading System conception, development and implementation
- Cultivated trusted relationships with Broker Dealer/Beneficial Owners of current and prospective accounts.
- Supported sales team members to drive growth and development.
- Coached, developed and motivated team to achieve revenue goals.
- Oversaw regional and local trading managers and staff.
- Determined RFP/RFE price schedules and rates.
- Improved profit margins by effectively managing expenses, budget and overhead
- Gained market share and performance through aggressive team training.
Head of Hedge Fund International Equity Demand
J.P.Morgan
New York, NY
08.2009 - 03.2012
- Manage International equities Demand Team
- Worked with sales and relationship management to market and develop new and existing Prime Brokerage relationships
- Brought onboard several high profile clients
- Key member of system development group for Equity Finance
- Mentored a number of staff across the bank
- Developed client monitoring reporting
Executive Director Prime Brokerage
PaineWebber/UBS
New York, NY
06.2000 - 08.2009
- Main contact for Hedge funds, Broker Dealers and Agency Lenders in the US for non-US Equities
- Developed lending and generated significant revenue in several new markets in Europe and Latin America
- Point person for sales and marketing on International Equity product
Divisional VP
PaineWebber
London, UK
04.1997 - 05.2000
- First Trader to be relocated from the UK to the USA
- Promoted to trading desk from position as Head of Collateral Management
Education
BA (Hons) - Business Studies
Skills
- Problem Solving
- Cross product and asset class management experience
- Relationship Building
- Decision Making
- Product and Service Promotion
- Interdepartmental Collaboration
- Employee Retention
- Marketing Strategy Development
- Client Base Retention
- Brand Development
Additional Information
- Series 7 (current) Series 63 (expired) MENSA member
Timeline
Project Manager
MUFG Securities
01.2024 - Current
Head of Borrow DIRECT
BNY Mellon
05.2022 - 07.2023
Head Cross Product Strategy and Digital Execution
BNY Mellon
02.2019 - 04.2022
Regional Head of Americas Equity Finance
BNY Mellon
06.2012 - 01.2019
Head of Hedge Fund International Equity Demand
J.P.Morgan
08.2009 - 03.2012
Executive Director Prime Brokerage
PaineWebber/UBS
06.2000 - 08.2009
Divisional VP
PaineWebber
04.1997 - 05.2000
BA (Hons) - Business Studies
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