Erik R. DePalma

14 Appletree Drive

Matawan, NJ 07747





·      Strong operational and technical understanding of Financial Services Sector

·      Leadership, relationship-building, communications, building teams, and influencing skills

·      Excellent analytical skills

·      Strong manager of people and teams with the ability to drive high performance and growth

·      Self-motivated with strong sense of ownership, assertive follow-through and organizational skills




Leonard N. Stern School of Business, New York University, New York, NY                                                     2014

Master in Business Administration


Wagner College, Staten Island, NY                                                                                                               2003

Bachelor of Science Degree   – Business Administration (Management)





Fidelity Investments, Jersey City, NJ                                                                                                           2004 – Present

Senior Director, Mutual Fund Product Master and Asset Servicing
·      Direct supervision of a team of analysts, operations and project staff

·      Accountable for completeness and accuracy of security master attributes and data utilized downstream for all Fidelity systems for over 26,000 individual mutual funds and 700 Fund Families with a combined $1.8 trillion in assets

·      Responsible for the establishment and testing of trade flows through the NSCC/FundSERV for ‘40 Act and other supported products

·      Daily oversight of 350,000+ Mutual Fund trades for all business units

·      Review and maintain necessary records to support the standardization of Mutual Fund attributes and to ensure data used by all downstream users is consistent with the Funds Prospectus and internal business policies

·      Manage Mutual Fund Vendor Relationships and contracts

·      Lead cross functional teams to design, implement and employ systems and process initiatives to achieve efficiencies and continuous improvement of internal systems

·      Designed and Implemented internal rules engine for trading, transfer and exception processing

·      Ensure effective controls are in place to minimize risk as a result of processing, reporting and reconciliation

·      Responsible for the creation, maintenance, testing and implementation of business unit disaster recovery plans

·      Accountable for the talent management process including hiring, on boarding, goal setting, performance reviews and career development activities

·      Develop, implement and maintain written supervisory and operational procedures

·      Lead multi-departmental resources and coordinate efforts with external and internal auditors, internal departments and various service providers

·      Manage and participate in regulatory exams and inquires

·      Serve as Program Manager for Divisional initiatives for 80+ associates

·      Co-Chair of Regional Mentorship Program

·      Represent National Financial on industry committees (ICI/BDAC Mutual Fund Subcommittees)

Director, Client Implementation
·      Successfully completed over 30 projects as leader and contributor

·      Partnered with Senior leadership at client firms to determine project requirements and advise on the best implementation and on-boarding process

·      Managed teams of cross firm project members through the project life cycle for new and existing client events

·      Responsible for the development and maintenance of detailed project plans

·      Led projects throughout the project life cycle and effectively interacted with multiple stakeholders (Third-party partners, Product Managers, Subject Matter Experts, Operations, Legal/Compliance and Technology teams)

·      Functioned as the primary liaison between new correspondent broker dealers and internal business partners throughout the on-boarding and conversion process

·      Performed due diligence in respect to a correspondents needs for regulatory reporting and trading functionality

·      Partnered with Internal Risk and Compliance to ensure correspondents are in compliance with all FINRA and SEC regulations during conversion

·      Supported correspondents with operational and reporting needs

Fidelity Order Room Senior Associate
·      Oversaw daily trading of all non-Fidelity Core Money Market funds
·      Assisted in Sub Transfer Agent oversight for Fidelity Funds

·      Managed dividend processing for Fidelity Funds and Non-Fidelity money markets

·      Balanced $100 Billion Core Money Market Trading, Mutual Fund Trade Settlement and General Ledger Accounts
·      Reconciled Mutual Fund shares for Transfer Agent Fund accounting

·      Prepared executive management’s daily and monthly reports

·      Assisted in the service, resolution and analysis of various Correspondent and Retail issues

·      Successfully performed project manager responsibilities for various departmental and company initiatives

·      Designed and implemented departmental tools to streamline operational processes




·         FINRA Series 24

·         FINRA Series 7

·         FINRA Series 63