Andrew Wax

Led first line of defense for TPRM within SCIB identifying, assessing, and mitigating risks for 350 vendors and 815 services to protect security, compliance, and operational integrity using Coupa-Hiperos. • Conducted ongoing TPRM monitoring vendor financial health, performance, and compliance, identifying and mitigating risk throughout vendor lifecycle using Coupa-Hiperos. • Developed strategic relationships with vendors; created tracking SCIB related contracts to ensure proper management of the contract lifecycle (onboarding/tracking/renewal/cancellation). • Established market data services department to track usage, allocate costs, and generate reporting for $46M in services across 1,300 employees, 190 services, and 115 vendors; automated reconciliation process to eliminate services for terminated employees, including $16M in Bloomberg spend. • Managed group that processed all requests (new and renewals) for services to SCIB, chaired Procurement Forum meetings to review/challenge; worked with other stakeholder departments to ensure timely processing (2024: 1,430 requests). • Partnered with Head of US Legal Contracts and US Head of Procurement to enhance process to reduce historically long inception to completion elapsed times for service expense requests. • Supported SCIB US Banking buildout of 300+ new employees in 6 months (full onboarding of individual group requirements). • Led integration of Amherst Pierpont Securities into Santander environment across vendors, services, accounts payable, corporate insurance, and real estate operations spanning 9 locations.

Oversaw administration and finance functions (budget and revenue analysis/forecasting/strategic problem-solving/vendor management/real estate operations) (Formerly AMHERST PIERPONT SECURITIES LLC) • Developed extensive data warehouse of sales production data integrated with Microsoft Dynamics 365 CRM database to report to Executive Management trends, assess penetration of clients and facilitate board metric reporting. • Re-engineered Accounts Payable department, streamlining internal processes, reducing processing time by 50%, annualized expenses by $480,000 in five months, Accounts Payable staff by 1.5 FTEs and unused and underutilized contracts. • Designed and implemented comprehensive integrated Human Resources application to track complete data for 250 employees utilizing a Microsoft Access front-end and SQL database backend, improving accuracy of current and former employee related data tracking and reporting. • Identified and automated cross functional processes to analyze and distribute daily production data to both sales and traders to allow review and timely error correction resulting in reduced settlement risk. • Implemented comprehensive vendor relationship tracking procedures to monitor vendor relationships resulting in minimal annual increases and termination of $250,000 of unused services. • Negotiated lease terms and managed buildouts across locations ranging from 1,200 to 36,000 square feet; $7M NYC office consolidation. • Calculated and reported producer compensation utilizing Castine's Commissioner (revenue and expense). • Coordinated business continuity planning, including annual plan updates and firm-wide testing to ensure operational resilience and regulatory compliance. • Supported pandemic response planning, coordinating dispersion strategy, office preparedness efforts, and adherence to evolving government agency guidance. • Led Administration integration team for firm merger with Amherst Securities Group.

Led all infrastructure functions for fixed income broker-dealer from startup through expansion to 120 employees and eventual sale. Served as key member of executive team, reporting directly to CEO. (Formerly CORTVIEW CAPITAL SECURITIES LLC, New York, NY). • Designed and implemented total infrastructure to enable start-up broker dealer to operate effectively and efficiently. • Developed and managed annual $7 million capital and operating budgets in support of the firm’s operations, technology and administrative functions. • Implemented flexible CRM system using Microsoft Access / MySQL which tracked salesperson coverage by product, monthly trend analyses, revenue / expense ratios, cross-product client penetration and potential hire client coverage opportunities. • Mitigated operational risk by coordinating integration of clearing systems of Pershing LLC with Bloomberg front-end trading systems which allowed efficient straight-through processing. • Led team of strategic members of Operations, Technology, Trading and Compliance to incorporate best practices and realize significant process improvements in Operations. • Coordinated annual external audits of Operations, Technology and Administration departments. • Led Operations, Technology and Administration integration teams for firm merger with Pierpont Securities

Accountable for building Operations, Technology, Finance and Administration departments of start-up broker-dealer. • Identified and prepared analyses of potential new product sectors for Executive Management • Designed and implemented integrated proprietary CRM system utilizing Microsoft Access which managed sales (client coverage, production and expenses) and automated trade ideas for sales force • Established company infrastructure: clearing, finance, technology and operations which enabled Firm to begin trading / sales operations • Designed comprehensive daily profitability reports showing revenues/firm expenses/client activity for CEO