Expert in Buy-side Due Diligence, Operational and Compliance Program Development & Adoption, Change Management, and Regulated Financial Services.
Expert ID: 739300 Illinois, USA
Expert's professional experience is broad and diverse, having held senior leadership positions at the Director level or above since 2011. In his most recent position, he specializes in buy-side due diligence, operational and compliance program development & adoption, change management, and fractional executive services, specifically within financial services institutions, private equity firms, and tier-1 banks.
Prior to founding his consultancy, Expert served as the President and Founder of Floor Coverings International - Oak Park, where he led a team to $700k in sales in the first full calendar year and grew 150% in year two. He also worked as the Chief Operating Officer and Senior Managing Director at Mesirow Financial, Inc., where he provided leadership and direction during a culture rebranding that focused on growth, efficiency, and accountability across the company. Expert has also held senior-level positions at Deutsche Bank-DWS Investments and Regal Discount Securities.
Throughout his career, Expert has achieved many notable accomplishments, including increasing revenue by 16-20% year-over-year, reducing fixed costs by $2.5 million, and generating $1.2 million in sales over the last 12 months at Floor Coverings International with a 48% close ratio. He has also led several successful projects, such as creating and executing a 5-year strategic plan of change, optimizing technology portfolios, and establishing a new broker-dealer inside of an asset management firm.
He is known for his expertise and leadership in the financial services industry and is a respected professional in his field.
|Year: 1993||Degree: BA||Subject: English Composition||Institution: DePauw University|
|Years: 2022 to Present||Employer: Undisclosed||Title: CEO, Founder||Department:|
Responsibilities:Freelance business consultant specializing in buy-side due diligence, operational and compliance program development & adoption, change management, and fractional executive services. Specializing in financial services institutions, private equity firms, and tier-1 banks.
• ICAG Partners-Director on Commercial Due Diligence for Private Equity Acquisition Target Firm in FinTech (deal closed: target firm-ETS Trading Software/client LDC)
• ICAG Partners-Executive Director on Regulatory Program development and deployment over multiple divisions in a large British Financial Services conglomerate (ongoing engagement: confidential)
• ICAG Partners-Director on Commercial Due Diligence for Private Equity Acquisition Target Firm in RegTech-(deal closed: target firm Cube.Global/client Bregal Milestone)
|Years: 2018 to 2022||Employer: Floor Coverings International||Title: President | Founder | Franchise Owner to Salesperson||Department:|
Responsibilities:Purchased the number-one, in-home flooring company local franchise. Led a team to $700k in sales in the first full calendar year and grew 150% in year two.
• Consistently ranked top 50 franchise since inception in sales and installations
• Ranked 25th out of 260 for new business development in the franchise system
• Generated $1.2 million in sales over the last 12 months with a 48% close ratio
|Years: 2013 to 2018||Employer: Mesirow Financial, Inc||Title: Chief Operating Officer | Senior Managing Director||Department:|
Responsibilities:Provided leadership and direction during a culture rebranding which focused on growth, efficiency, and accountability across the company.
• Created and executed 5-year strategic plan of change
• Managed $40 million P&L, 23 sales teams and 75 employees over 3 locations
• Increased revenue by 16% year over year
• Restructured the executive team to properly support the sales team
• Optimized technology portfolio by investing in leading-edge client/sales team solutions
• Championed Social Media platform to enhance genuine advisor awareness
|Years: 2011 to 2012||Employer: Deutsche Bank-DWS Investments||Title: US Head of Client Service | Vice President||Department:|
Responsibilities:Improved client experience and retained legacy shareholders, established a new broker-dealer, and oversaw client services for the entire portfolio of open-end mutual funds.
• Key member of U.S. regional operating committee and direct report to CEO
• Altered focus of all materials and employees to a client-first culture
• Contact center oversight manager for a 3rd party vendor boasting 70 full-time employees with award-winning results
• Increased client retention and immediately improved sales by 15%
|Years: 2000 to 2011||Employer: Mesirow Financial, Inc.||Title: Operations Manager | Senior Vice President||Department:|
Responsibilities:Promoted multiple times as a results-oriented manager responsible for operational oversight and supervision of a regional NYSE firm and Registered Investment Advisor.
• Pioneered several transformation initiatives including revamping branch supervision procedures, establishing the Auction Rate Securities market-crisis lending facility, and fully converting a $4B retail brokerage book into a discretionary, fee-based RIA
• Ensured adherence to and enforced all firm, regulatory, and industry compliance policies including CIP, AML, client suitability, Records Management, and examinations
• Earned Certified Financial PlannerTM (CFP®) certification.
|Years: 1997 to 2000||Employer: Regal Discount Securities||Title: Branch Manager | Compliance||Department:|
Responsibilities:Promoted 6 times throughout tenure at the firm; oversaw a 50-person, single-branch discount securities firm.
• Managed P&L, firm-wide daily activities, compliance, and human capital issues
• Instituted a quality employee retention program
|Associations / Societies|
|Member (former), SIFMA-Private Client Services Committee|
|Licenses / Certifications|
|CFP(r) certificant-expired earned in 2002, expired in 2020
FINRA Series: 4, 7, 9, 10, 24, 31, 55, 63, 65 (all earned between 1994 and 2001) - all expired 2021
|Awards / Recognition|
|• President’s Award of Excellence, Floor Coverings International
• Golden-Rule Award Winner, First Service Brands