Elizabeth DiNicola Page 1 of 2

Somerset, NJ (732) 713-1201 ede1b1e6@westpost.net

Summary Qualifications:
Senior executive with 20 + years of diverse experience leading operations and te
chnology organizations through periods of modernization, expansion and contracti
on. A leader who has demonstrated an ability to motivate teams, develop staff,
build strong client relationships, create strategic alliances with external serv
ice providers, culminating in a recipe for success at every level. Recognized
for addressing complex operations and technology challenges, developing forward-
looking strategies, integrating large-scale business acquisitions, and implement
ing stability improvement programs.
Specialties:
Retail Securities Operations Management Acquisitions/New B
usiness Integrations
Business Program or Process Assessment/Remedies Financial Management and A
nalysis
Strategic Partnerships Relationship Management Project Management and Quality
Assurance
Experience:
UBS Wealth Management - September 1988 to June 2010:
Executive Director, Group Manager a" Business Development and Asset Control
May 2009 to June 2010: Regional Chief Operating Officers (RCOO), Asset Servicing
Division
Several areas under control included the project management office function resp
onsible for the successful and timely delivery of $5 million in regulatory compl
iance initiatives relevant to clearance and settlement, corporate actions and as
set control functions; the business management function responsible for financia
l reporting, compliance and risk management, and business continuity planning; t
he Security Audit and Control function responsible for centralized oversight of
the firmsa compliance with possession and control regulatory requirements; the p
hysical transfer and vault functions; and the securities master and pricing func
tions.
Managed key relationships with offshore service providers, and security master a
nd pricing service providers.
Teams consisted of 65 operations (40 onshore and 25 offshore) and 20 technology
professionals.
Mentor, UBS Wealth Management Group Mentoring Program; Campus Recruiter
Executive Director, Group Manager a" Client Services Key Segments, New Recruits
and Operations Support
December 2008 - April 2009: RCOO, Client Services Division
Led and directed the activities of 100+ Client Service specialists supporting ke
y segment financial advisor offices nationwide, the on-boarding and assimilation
of new financial advisor recruits, and core operations functions (new accounts,
client reporting, asset servicing, margin and credit services). Built relatio
nships with key areas of the organization to better develop and deliver exceptio
nal service-based solutions to our financial advisors nationwide. Identified op
portunities to optimize the client service framework and offerings in partnershi
p with other client service desks across the organization.
Client Service areas received high accolades from the field for excellent servic
e and expertise exhibited in spite periods of heightened organizational stress r
esulting from extraordinarily high recruiting levels. Introduced and implemente
d the daily call with multiple client service desks aimed at addressing hotspots
and personnel shortages and establishing best practices.
Executive Director, Group Manager a" Managed Accounts Billing (5/05) & Cash Mana
gement Operations (9/07)
May 2005 a" November 2008: RCOO, Products & Services Division
Responsible for the firmsa primary managed account platform supporting both bill
ing and administrative functions which included client billing and branch, exter
nal managers payment services for a $200 billion Managed Accounts Platform. Cas
h Management Operations included all maintenance, escalation and servicing for U
BS Wealth Management Premier Resource Management Account offerings, including al
l cash and credit card services. Both functions required a full array of books
and records reconciliation and reporting, and Sarbanes-Oxley certifications.
Introduced numerous stability improvement programs designed to resolve aged rece
ivable and payable issues internally and externally with service providers, intr
oduce sound accounting procedures and best practices, and provide full transpare
ncy to senior executive operations, finance and product management. Established
strategic alliances with key business partners to better develop the future-sta
te, and delivered significant product and program improvements critical to flexi
bility and revenue development opportunities across a wide base of managed accou
nt programs. Led the teams through two major business acquisitions (Piper Jaffr
ay and McDonald Investments) and the first year of a significant technology rebu
ild of the firmas billing system.
Teams consisted of 60 operations and 25 technology professionals.
Maintained active involvement in several Managed Accounts forums and industry as
sociations.
Elizabeth DiNicola Page 2 of 2
Somerset, NJ (732) 713-1201 ede1b1e6@westpost.net

First Vice President, Group Manager a" Client Reporting

March 2001 a" April 2005: RCOO, Operations & Service Division
Functional responsibilities included client statementing, trade confirmations, t
ax reporting for 4mm+ clients and overall
management of the firmas proprietary repositories for tax lot, securities master
data and pricing for client and proprietary positions. Co-managed vendor relat
ionships for security master and pricing data. Led the following initiatives: a
Client Statement redesign which received accolades from Corporate Insights and
the field; a significant compliance initiative (VCP and JGTRRA); several major s
ystems rewrites associated with the firmas security master and pricing functions
and tax reporting; a major business acquisition and merger (JC Bradford and UBS
).
Teams consisted of 55 operations and 80 technology professionals.
Maintained active involvement in several Industry and Service Provider-led assoc
iations.
Mentor, UBS Mentoring Program; Campus Recruiter
Corporate Vice President, Business Unit Controller a" Operations & Service
April 1997 a" February 2001, CFO/Controllers Division
Managed P&L and Balance Sheet accounting, financial analysis, business planning
and executive presentations reviews. Designed and developed several accounting
and control programs and best practices to provide consistency and transparency
of the firmas expenditures, costs, risks and exposures to senior executives in O
perations and Controllers. Major successes included a $6 million P&L reduction
in the firmas spend on Market Data Services, the successful conversion of books
and records associated with the firmas acquisition of JC Bradford. Managed 15
employees. Mentor, UBS Mentoring Program
Divisional Vice President, Finance Director - Telecommunications Technologies
March 1995 a" March 1997, CFO/Controllers Division
Managed firm-wide accounting and cost allocations for $160 million in telecommun
ications and market data expenditures.
Major Projects: AT&T Tele-Communications Outsourcing Deal and Kidder Peabody Acq
uisition. Managed 35 operations and
technology professionals.
Divisional Vice President, Director - Budget Planning and Cost Allocations
July 1992 a" February 1995, Wealth Management/Private Client Group
Managed annual budget planning process for 350 branches nationwide and product o
rigination areas. Monitored and challenged significant spending fluctuations and
changes in back-office allocation methodologies. Special Projects included: Co
mmodities Profitability, Market Segmentation Analysis and NY Branch Expansion In
itiative. Managed 3 analysts.
Assistant Vice President, Finance Director - Human Resources Finance & Controls
September 1988 a" June 1992, Human Resources Division
Coordinated financial planning, budgeting, and spending reviews for a $14 millio
n P&L. Managed 2 accountants.
Education:
November 2000: Wharton University a" Executive Management Program
PACE University, MBA, Finance a" Investment Analysis and Portfolio Management
SUNY at Stony Brook, BS Economics and Applied Mathematics, Minor in Accounting
Current Memberships/Activities:
Womenas Bond Club of New York (member since 2000)/ Finance Committee
Other Interests/Activities:
Saint Matthias School Golf Outing Committee, Investing,
Franklin Township Little League Team Parent, Golf and Racquetball
Technical Skills:
Highly proficient with Microsoft Outlook, Excel, PowerPoint and Word.