Regulatory and Compliance Analyst Resume New York, NY - Hire IT People

TECHNICAL SKILLS

PROFESSIONAL EXPERIENCE

Confidential, New York, NY

Regulatory and Compliance Analyst

Responsibilities:

Products Supported : Single Name, Basket and Index Swaps
Implemented and monitored 871(m) regulations for all applicable clients, provided heat map analysis
Responsible for all 871(m) tax withholding processing, including: 871(m) related client inquiries, blended rates calculations, amendments, control report management and manual withholding bookings
Identified systematic/reporting issues, worked with FO, MO, IT, Project Mgmt. and Tax to resolve

Confidential, New York, NY

P&L Analyst

Responsibilities:

Products Supported : MS issued debt: Retail Notes, Preferred Equity, Fixed/Floating rate Notes, Samurai Bonds, Private Placements, Global Bonds, Medium/Senior Notes
Managed and reviewed daily P&L attribution for Confidential issued debt, provided feedback
Performed daily Bond Pricing and Valuation of Interest Rate Swaps and Cross Currency portfolios
Oversaw and reviewed weekly and month-end P&L processes, including Balance Sheet substantiation
Partnered with Accounting Policy issues with respect to FAS 133 matters

Confidential, New York, NY

Financial Operational Controller

Responsibilities:

Products Supported : Equity Derivatives, Fixed Income Derivatives
Monitored and managed breaks allocated to Finance, including complex break investigations
Provided a central escalation point of contact for AVI related queries, acted as a center of excellence and best practice and coordinated process with regular meetings with Product Control and Operations

Confidential, New York, NY

Business Analyst - Finance Project Group (Consultant)

Responsibilities:

Products Supported : FX Swaps, FX Spots, FX Forwards, FX Options, NDFs, Deposits
Implemented Front Office FX system updates based on Dodd Frank guidelines
Performed business analysis and project management activities in support of critical planning, documentation development (of BRD and FRD) and execution of product deliverables
Wrote test case scenarios based on project requirements and drove UAT testing and implementation
Developed cost and benefit analysis, designed considerations and implementation timelines

Confidential, New York, NY

Settlement Specialist

Responsibilities:

Products Supported : Interest Rate Swaps, Asset-Backed Securities, Credit Default Swaps
Resolved cash payments discrepancies and fails on a daily basis
Communicated funding requirements to senior management on daily basis
Monitored bookkeeping breaks related to relevant accounts by maintaining cash and position reconciliations for custodians, prime brokers and counterparties
Pre-Confirmed all upfront fees, assignment fees, termination fees, and monthly/quarterly flows
Participated in new initiative projects that streamline and improve Operational processes
Daily interaction with traders, relevant middle office groups, treasury, internal and external clients

Confidential, New York, NY

Assistant Vice-President

Responsibilities:

Products Supported : Commodity Contracts (Futures, Options, Swaps, OTC Options and Forward Contracts) dealing primarily with Energy Commodities (Natural Gas, Crude Oil, Heating Oil, Gasoline, Electricity) and Precious Metal Commodities (Gold and Silver)
Unwound the legacy commodity business of the Confidential estate
Assisted front office with the auction, sale, and hedging of physical and financial commodity positions
Reconciled outstanding unrealized and realized commodity derivative transactions
Responsible for internal P&L reporting and price verification for outstanding commodity contracts Effectively resolved valuation disputes for over 150 claims with a value above a billion dollars
Facilitated the bankruptcy processes between counterparties and internal bankruptcy committees
Designed and produced reports presented to Creditor Committees, Board of Directors and CEO

Confidential, New York, NY

Senior Analyst

Responsibilities:

Products Supported : Commodity Contracts based on Energy and Precious Metal Commodities
Trade Support: confirmations, settlements and metrics reporting
Ensured that daily operational procedures were followed in order to minimize risk
Assisted IT and various functional leads with the design, production and testing of more efficient trade capture systems and risk management systems

Confidential, New York, NY

Senior Analyst

Responsibilities:

Products Supported : Credit Default Swaps, Dow Jones CDX Indices, Asset-Backed Securities, ABX Indices, Commercial Mortgage-Backed Securities, Tranches, iTraxx and Loan Credit Default Swaps
Managed a team engaged in loading aged-trades into the DTCC Trade Information Warehouse
Led team to achieving 100% success rate in meeting FED mandated targets & risk requirements
Supervised and conducted weekly inter-bank conferences to settle discrepancies and mitigate risk
Matched eligible trades with counterparties on the legally confirmable fields of the Depository Trust & Clearing Corporation platform and Markitwire, while ensuring there were no Alleges or DKs
Processed ISDA confirmations for new trade transactions, assignments, up-sizes, restructurings, terminations, and amendments made after trade execution, while reporting directly to derivative confirmations incoming supervisor, internal traders, senior management and relevant salespersons

Confidential, Long Island City, NY

Account Manager

Responsibilities:

Managed the development and production of over 500 accounts
Utilized knowledge of financial and accounting data to manage and advance client relationships
Provided brokerage and investment advisory services for numerous products, including: Tax-Free Municipal Bonds, Tax-Deferred Annuities and Life Insurance (Term, Whole Life and Variable Life)
Built a client base that included 45 new clients
Solicited $500K in new investment capital and sold over $2.0M in life insurance coverage