Clark is a senior financial and operations executive with more than 25 years of experience in the banking and securities industries. He has acknowledged strengths in creative and collaborative leadership, innovation and problem solving and multi-lateral thinking. Clark also is a highly motivated, values-driven, practical and goal-oriented leader focused on making a positive impact on the company and its stakeholders.
- Serves as the FinOp for Introducing and Advisory broker-dealers
- Provides comprehensive guidance and assistance around financial impacts to clients preparing to comply with the Department of Labor Fiduciary Rule. This includes the assessment of potential impacts on a client’s retirement business, including their compensation structure
- Directed the actions of various support areas (middle-office) to deliver a high level of service to both internal and external customers
- Managed risk, personnel and events, as well as identified and delivered initiatives for overall quality and profitability improvement
- Directed Domestic and International Brokerage Operations (Securities and Insurance), Discount Brokerage, and Fixed-Income trading
- Redesigned the financial and operational infrastructure for improved compliance and effectiveness
- Initiated and spearheaded a customized data management solution resulting in a scalable relational database which streamlined collection, storage, and effective use of information
- Provided guidance and supported 3 affiliated Registered Investment Advisor firms through project leadership and ongoing service
- Led merger and consolidation activities of acquired investment subsidiary units
- Managed clearing vendor relationship
- Collaborated with clearing firm and bank to develop web presence for customer online capabilities
- Created and led strategic initiatives teams to improve efficiency, effectiveness, and productivity
- Developed and managed Business Unit Recovery Plan
- Chief Operating Officer, Chief Financial Officer, BBVA Compass Investment Solutions Inc.
- Controller, AmSouth Investment Services, Inc.
Education, Accolades and Industry Commitments
- Master of Business Administration, University of Alabama, Birmingham
- Bachelor of Science, Finance, Auburn University
- FINRA Series 4, 6, 7, 24, 27, 53, and 63 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)
- Life, Health, and Variable Insurance licenses
Publications and Presentations
FINOP Exam Priorities and COVID 19 Impacts on FINOP Procedures – Oyster Stew Podcast, April 8, 2020
Should You Outsource Your FinOP Position? – Oyster Stew Podcast, December 11, 2019