PROFESSIONAL SUMMARY:

• Investment management, portfolio strategy, and regulatory compliance professional with ten years’ experience in securities and investment analysis, complex risk assessment, trade execution, and tax and regulatory reporting at several boutique financial management firms and broker dealers.
• Experienced investor relationship manager and technology leader who has implemented new platforms to improve internal processes, capture trading efficiencies, enhance communications, and better manage client investment portfolios.
• Graduating MBA candidate with intensive coursework in quantitative financial analysis and investment valuation, risk modeling, market and industry assessment, crisis management, and organizational leadership.

Computer Platforms:

• Excel and PowerPoint
• FINRA Trace and Firm Gate
• Omgeo OASYS/ALERT
• Backstop Solutions, Advisor Solutions
• Total Return Accounting Systems
• Indata Portfolio Management (IMS) System
• Street Events Thomson Reuters
• Capital IQ
• Bloomberg/TOMS
• MarketAxes

• Qlikview

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Consultant, Strategic Business Analyst and Project Management

Responsibilities:

• Improved operations for the Global Trade Services ( Confidential ) group within the Global Capital Markets business through risk and control gap analysis, identifying actionable opportunities and designing solutions promoting firm operational excellence for automation and process controls in line with Three Lines of Defense (3LoD).
• Point of contact on multiple projects working with Global Technology for source system performance evaluations and provided planning and analytical support core to each business line within the project management lifecycle; while involving subject matter experts for end user adoption.
• Managed multiple projects around: Risk Control Self Assessments ( Confidential ) for all fixed income support desks in line with 3LoD and Intermediate Holding Company (IHC) infrastructure; Business Requirements Document (BRD) review and book of work of all technology production fixes, enhancements, system UAT testing as part of Software Development Life Cycle (SDLC) and migrations. Regulatory: Dodd Frank Volcker Rule, FINRA Trace, as well as industry working group participation with follow up planning for T+2 Settlement, Treasury Auction Primary Dealers, Agency Lending Disclosure of Principal (ALDOP) Reporting.

Confidential, New York, NY

Consultant, Fixed Income Trade Management Operations

Responsibilities:

• Conducted operational risk assessments, analysis of trading discrepancies and regulatory compliance issues; identified opportunities for internal technology platform improvements, and presented recommendations to upper management.
• Collaborated with Technology team for implementation and documentation of straight through processing enhancements and planning.
• Coordinated across various functional areas, including Trading & Sales desks, Operations, and Product Control for High Yield, Investment Grade, Government and Sovereign Debt, Structured Products, and Loan Syndication.

Confidential, Greenwich, CT

Portfolio Analyst and Trader

Responsibilities:

• Primary firm - wide point-of-contact on tax and regulatory compliance requirements and processes, including financial reporting, fixed income conversion and compliance with Investment Advisors Act, Securities Exchange Act.
• Projects managed and completed as lead for firm’s transition to Cost Basis Phase III (fixed income and options); directed Cost Basis Phases I (equities) and II (mutual funds) reconciliation and supervision of holdings; led fixed income portfolio analytics of 2,500+ securities, including securities pricing, performance benchmarking, and taxable gains, losses, amortization and accretion reporting.
• Designed processes and protocols in hand with project managed at firm level to address Red Flag, Know Your Client, Wire Fraud, and Anti-Money Laundering concerns; collaborated with regulatory specialists, external IT professionals to draft and test fraud protection software.
• Performed complex investment and portfolio analysis, market and securities risk assessment and modeling on a variety of asset classes, including equities, bonds, ETFs, options, and mutual funds; developed stock analysis reports and asset allocation charts; quantitative approaches included Relative Value Analysis and financial ratio (EPS, ROE) calculation.
• Automated, streamlined performance calculations by implementing Bloomberg and Excel tools in place of manual calculation methods, resulting in sizable time and efficiency improvements to investment decision making process.

Confidential

Trade Execution and Client Relationship Management

Responsibilities:

• Designed, implemented Best Execution strategies, including VWAP, TWAP, and limit orders upward of $100MM; served as internal/external point-of-contact on three major brokerage desks for block trading programs to $1MM.
• Created trade allocation technical shortcut that simplified the allocation process of 600 client portfolio accounts; resulted in higher execution volumes due to increased trading time, enhanced error correction efficiency.
• Served as point-of-contact for 300+ client and investor relationships; developed, executed strategies for reducing client trading costs, including creation of successful trade commission rate reduction programs; established and facilitated new and existing broker relationships; maintained all client accounts via Indata Portfolio Management (IMS) system.
• Developed, launched client online vault services; collaborated with software designers and internal management to automate several key processes; created user data confidentiality and archive security checkpoints within system.
• Implemented software solutions to streamline and improve trade room processes and trading platforms; created firm protocol for sensitive electronic communications; created flowcharts and user guides for staff training.
• Created, led two-month hands-on training program for new trading staff development, followed by task-related and technical platform training; produced in-depth management report on trading staff roles and responsibilities.

Confidential, Greenwich, CT

Senior Trade Research Analyst, Trading Desk

Responsibilities:

• Researched and confirmed key elements and trade details across several product classes, including equities, high yield bonds, CDO, CDS, and other leveraged credit instruments.
• Identified, resolved trade breaks by comparing prime broker reports to internal portfolios.
• Communicated directly with brokers to intake trading reports; relayed accurate, up-to-date information to Head Trader.
• Utilized Excel to track and chart stock performance for Managing Director; obtained research reports through various broker sites and other data sources, including Capital IQ and Street Events.
• Uploaded trade data into various Prime Brokerage web sites; entered trades into Total Return accounting system.
• Served as point-of-contact between fund administrators, internal operations, and accounting teams.