Pete has senior level management experience in coaching, consulting and leading large programs and operations teams; driving significant, impactful change management, process improvement and implementation efforts. He possesses a deep background with over 25 years of experience with Fortune 500 companies working in International Quality Manufacturing and Financial Services industries. Pete has spent the past 18 years in the financial services industry (brokerage and retail banking) in quality service delivery, program leadership, PMO governance and operations leadership roles. He has led complex organizational/operational integrations, change management and implementations, client service programs, regulatory responses/remediations and process improvement efforts. He has a proven track record of success serving as executive management consultant, Program Manager and PMO lead. Pete is especially skilled at building strong trusting relationships across all levels and functions across organizations.


  • Program Lead for clearing platform assessments, vendor evaluations and selection/decisioning
  • Project Manager for Market Access/15c3-5 SEC Independent Consultant engagement
  • Program Lead for a Top 5 BD/RIA SEC Exam response and remediation
  • Project Manager for SEC Surveillance Technology Independent Consultant engagement
  • PMO Program Lead for regional Bank Broker-Dealer integration for $8B firm
  • Developed/led business continuity & event management for 1000 retail bank branches across 9 states
  • Integration program lead for two large bank operational conversions (360 & 250 retail branches respectively)
  • Implemented centralized onboarding and access review processes for 8500+ branch associates
  • Built and managed service quality improvement program for top 2 brokerage firm
  • Vendor consolidation; deepened risk management and controls, onboarded/managed new relationships
  • Led retail program PMO; coaching PMs and implemented governance processes, reporting and controls
  • Expertise includes executive communications, project leadership, training delivery, PM/PMO coaching/mentoring, risk & issue management, command center and event leadership, business continuity planning and recovery execution
  • Operations, Technology, Markets and Trading expertise includes software development lifecycle (SDLC), technology governance, Reg SCI Reviews, cybersecurity assessments, and clearing platform reviews

Career Highlights

  • Director, Branch Operations, Capital One Financial
  • Lead Consultant, Program and PMO Lead, CapTech Ventures, LLC
  • Senior Project Manager and PMO Lead, Wachovia Securities, LLC
  • Corporate Director of Quality Services, Universal Corporation

Education, Accolades and Industry Commitments

  • B.S., Chemistry, College of William and Mary, Virginia
  • Project Management Professional (PMP), member Central Virginia Chapter, Project Management Institute
  • FINRA Series 7 and 24 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)
  • Darden School, University of Virginia, Executive Program- Financial Management and Manufacturing Management programs
  • 360 Leadership Development Training/Executive Coaching Program
  • Certified Business Continuity Professional (CBCP), DRI International (certification inactive)
  • Certified Chance Management Practitioner, Prosci

Articles, Blogs and Presentations

Managing the Clearing Platform Transition Process – Blog Post, May 2, 2019

Communicating Your Platform Decision – Blog Post, April 4, 2019

Selecting a Clearing Provider – Blog Post, March 21, 2019

Things to Consider When Selecting a Clearing Partner – Blog Post, March 7, 2019

The Business Case for Evaluating Your Clearing Partner – Blog Post, March 5, 2019

Should You Be Thinking About Your Clearing Platform? – Blog Post, February 2019

Webinar: Are Your Ready for April?  Training and Education Around the DOL Fiduciary Rule

Webinar: Now What –  Next Steps in Preparing for the DOL Fiduciary Rule Changes

“Best Practices for Selecting Governance Risk and Compliance Software” – Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer

Webinar: Evaluating GRC Systems: Look Inside Before You Look Outside