Pete McAteer Managing Director 804.521.6026 vCard

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 30 years of experience with Fortune 500 companies working in International Quality Manufacturing and Financial Services industries. Pete has spent the past 20 years in the financial services industry (brokerage, clearing, compliance 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, technology/SDLC control programs, process improvements, and clearing vendor evaluations. He has a proven track record of success serving as executive management consultant and PMO Lead/Program Manager. Pete is especially skilled at building strong trusting relationships at all levels and functions across complex organizations

Expertise

  • Engagement Lead for clearing platform assessments, vendor evaluations & selection/decisioning guidance
  • Program Lead for Consolidated Audit Trail (CAT) readiness & implementation engagements
  • Program Lead for Market Access/15c3-5, 301(b)(10) & Reg ATS SEC Independent Consultant engagements
  • Program Lead for a Top 5 BD/RIA SEC Exam response initiative & remediation plan & execution
  • Project Manager for SEC Surveillance Technology Independent Consultant engagement
  • PMO Program Lead for two large regional Bank Broker-Dealer integrations ($8B & $10B AUM)
  • 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 branches respectively)
  • Implemented centralized onboarding and access review processes for 8500+ branch associates
  • Designed, built and managed service quality improvement program for Top 2 brokerage firm
  • Other experience includes: Vendor rationalization/consolidation, Risk management and controls, Coaching/mentoring PMs, Vendor governance processes (SLAs, reporting & controls), Operations & technology management, Trading & Markets (SDLC, controls, technology governance, 15c3-5, Reg ATS, Reg SCI Reviews, cybersecurity assessments & clearing platform reviews)
  • 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

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 in Williamsburg, Virginia
  • Project Management Professional (PMP), member Central Virginia Chapter, Project Management Institute
  • FINRA Series 7 and 24 registrations (inactive)
  • Darden School, University of Virginia, Executive Program, Financial Management and Quality Manufacturing Management programs
  • 360 Leadership Development Training/Executive Coaching Program
  • Certified Business Continuity Professional (CBCP), DRI International (certification inactive)
  • Certified Change 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