Mohammad Faisal
Pembroke
Summary
Management professional with an extensive background in Brokerage Operations, Risk Management, and Compliance functions. Versatile senior director highly experienced in and areas. Hands-on leadership and management background with a solid track record of success in process optimization and operational restructuring. Seeking a professional position with a growing operation.
Overview
28
28
years of professional experience
1
1
Certification
Work History
Senior Director
Fidelity Investments
Smithfield
07.2012 - Current
- Company Overview: Enterprise Compliance | www.fidelity.com
- Manage all aspects of annually regulatory filings for all Fidelity lines of businesses, including Fidelity Institutional (FI), Corporate Accounts Payable (CAP), Fidelity Institutional Asset Management (FIAM), Fidelity Investments Life Insurance (FILI), Personal Investing (PI), and Workplace Investing (WI).
- Function as primary point of contact for all communication with state administrators.
- Oversee 10-20 technology projects/year; obtain estimates and funding, define system requirements, and manage review and approval of project documentation and test results.
- Manage relationships with vendors for Ryan's TrackerPro, LexisNexis Tylor Communication.
- Recognized with Fidelity Investment's President's Circle Award for consolidating multiple operations teams.
- Developed regulatory reporting framework for Fidelity Digital Assets and Green Pier.
- Decreased calls and emails with internal questions by 80% by leading cross-FI education project to build out training curriculum for entire Personal Investing phone site.
- Generated savings for a total of 95% of original invoices in one year by implementing new research and review process; new process replaced inherited process that required company to pay interest and penalty from $200K to $4M to states on yearly basis.
- Reduced mailbox volume by 88% by developing and implementing Chatbot.
- Created web-based program that clearly defined systems/policies and made it easier for individuals to look up systems' logic and understand it.
- Oversaw third-party audits, responding to auditors' and correspondent's inquiries, and managing filing.
- Enterprise Compliance | www.fidelity.com
Team Leader
Fidelity Investments
Smithfield
05.2006 - 06.2012
- Company Overview: Risk Management | www.fidelity.com
- Supervised three groups of Risk Management Analysts.
- Evaluated day-to-day workflow and assigned work accordingly.
- Performed Quality Control on case breakdown and provided coaching and on-going feedback.
- Handled escalations, which cannot be resolved by the team.
- Earned Fidelity Investments' Annual Leadership Award after reducing workload 90% in six months by automating of negative letters.
- Developed and maintained Policies and Procedures for three teams.
- Implemented escalation processes, thus providing superior communication between Associates, Managers and Business partners.
- Risk Management | www.fidelity.com
Earlier Roles
Brokerage Operations/Problem Resolution Roles
Boston
12.1997 - 08.2004
Education
Bachelor of Science - Communications, Business Management
Suffolk University
Boston, MASkills
- Brokerage Operations
- Strategic Leadership
- Technical Project Management
- Problem Solving
- Regulatory compliance
- Risk assessment
- Policy development
- Vendor management
- Data analysis
- Performance metrics
- Critical thinking
- Conflict resolution
- Strategic planning
- Stakeholder relations
- Team management
- Organizational development
- Team building
- People management
- Operations management
- Business strategy
- Creativity and innovation
- Risk management
Websites
Certification
- Strategic Planning and Execution, University of Virginia
- Solving Problems with Creative and Critical Thinking, IBM
- Operational Risk Management: Frameworks & Strategies, New York Institute of Finance
- Getting Started with Power BI Desktop, Coursera Project Network
- Effective Compliance Program, University of Pennsylvania
- Privacy Law and Data Protection, University of Pennsylvania
- What is Compliance?, University of Pennsylvania
- Anti-Corruption and Compliance, University of Pennsylvania
- Introduction to Artificial Intelligence (AI), IBM
- AI For Everyone, DeepLearning.AI
- The Future of Payment Technologies, University of Michigan
- Blockchain and Cryptocurrency Explained, University of Michigan
- Prompt Engineering, Vanderbilt University
- Series 99, Financial Industry Regulatory Authority
Awards
- Fidelity Investments President's Circle Award
- Fidelity Investments Annual Leadership Award
- OSG Leadership Award
- Excellence Award
Hobbies and Interests
Award-winning writer and filmmaker
Industry Training
- Leadership for the Future
- FI Risk Oversight Leadership Development
- Strengths Based Leadership
Computer Experience
- Fidelity Systems (XTRAC, FBSI, CACTUS, CDV, Focus Point, View Direct and etc.)
- JIRA
- Green Meadows Ops. Workstation
- LexisNexis: Accurant
- Ryan's TrackerPro
- MS Office
Timeline
Senior Director
Fidelity Investments
07.2012 - Current
Team Leader
Fidelity Investments
05.2006 - 06.2012
Earlier Roles
Brokerage Operations/Problem Resolution Roles
12.1997 - 08.2004
Bachelor of Science - Communications, Business Management
Suffolk University