David Mott, CBCP

Experience

• 

  Fidelity Investments

  Jan 2002 - Dec 2008

  During my tenure as a Team Leader, I oversaw 10+ associates and daily business processing operations. The day-to-day operations comprised data entry processing, financial and regulatory service level agreement compliance, internal and external escalations, and project management. I utilized my interpersonal and relationship-building skills to manage a strong team of associates, combined with my ability to prioritize tasks effectively and manage daily requirements contributed to successful operational processing. Show less

  • Business Analyst

    Aug 2006 - Dec 2008

  • Operations Team Lead

    Jan 2005 - Aug 2006

  • Priority Services Representative

    Jan 2004 - Jan 2005

  • Data Entry Operator

    Jan 2002 - Jan 2004
• 

  Broadridge

  Apr 2009 - now

  In my current role as the Manager of Business Continuity Governance & Crisis Management, I am responsible for managing and overseeing the global business continuity program for Broadridge Financial Solutions. I ensure that the program components are communicated and completed throughout the organization, including Risk Assessments, Business Impact Analysis, Recovery and Crisis Management Plans, and tabletop/remote workplace exercises. Each stage of the program requires coordination with global business partners and leadership while providing C-Suite and Executive Leadership with insight into the health and compliance of the overall program. In addition, I play a leadership role in the crisis management process at all levels. I also work with external clients, regulators, and corporate internal audit partners on program inquiries, proposals, and audits. Show less In my current role as a Business Continuity Sr. Business Analyst, I am responsible for the management of the business continuity program for the Investor Communications division. My tasks include ensuring that the Corporate Governance BCP program components are communicated and completed throughout the organization, including Risk Assessments, Business Impact Analysis, Recovery and Crisis Management Plans, and Tabletop/remote workplace exercises. Each stage of the program requires coordination and approval from Sr. and Executive Leadership. In addition, I provide evidence of program compliance for external client audits, regulatory reviews, and corporate internal audits. Also, I am a partner in the management of the ISO 9001 Quality Management audit program to ensure compliance with the ISO standard. The effort includes scheduling and coordinating the Internal Audit program, vendor management, and leading the onsite external audit process. I have been a part of each of these programs throughout my tenure at Broadridge. This experience has provided me with the skills and relationships to take a primary leadership role for each program effectively. Show less My role as a Production Analyst required me to manage all project tasks related to the Vote Audit and Control organization, including systematic enhancement, business continuity program, and ISO certifications. These efforts involved developing project plans and enhancement documents with department leadership, lobbying for project resources with executive leadership, managing project tasks to completion, and coordinating business resources for deployment testing. I was also tasked with managing the Business Continuity and ISO 9001 and 27001 efforts to ensure compliance with the Corporate Governance BCP guidelines, ISO 9001 Quality Management standard, and ISO 27001 Information Security standard. This role allowed me to highlight all of the skills and experiences to effectively communicate with peers and executives, set priorities based on business needs and regulatory requirements, and navigate the complex network of systems and business processes. Show less During my time as the Supervisor of Vote Execution group, which comprised 8-10 associates, my priorities focused on processing complex and rush voting of proxy meetings. Additional tasks included managing daily workloads, liaising with internal client services groups for specialized requests, vote dispute reconciliation, and project management. In addition, I managed the ISO 9001 and 27001 Certification process and Business Continuity program for the entire Vote and Control organization. The relationships and business acumen gained during my prior role were critical to my success in managing the expectations o this role. Show less

  • Director - Business Continuity Governance & Crisis Management at Broadridge

    Jul 2024 - now

  • Manager - Business Continuity Governance & Crisis Management

    Nov 2022 - Jul 2024

  • Sr. Business Analyst - Business Continuity

    Jan 2016 - Mar 2023

  • Production Analyst

    Nov 2013 - Jan 2016

  • Supervisor

    Jul 2010 - Nov 2013

  • Team Lead

    Apr 2009 - Jul 2010