SUMMARY

• Hands - on Senior Business Analyst with a proven track record of managing all aspects of technology delivery and process change supporting the front, mid, and back offices for the asset management, wealth management, banking, brokerage, hedge fund, and insurance industries. Extensive experience managing programs and projects that align technology with business objectives while reducing complexity.
• Managed cross-functional domestic and offshore project, product, and development teams as large as 50+ professionals;
• Comprehensive knowledge of the end-to-end business functions/operations for the global capital markets;
• Deep domain experience in trading & trade lifecycle, pre & post trade compliance, regulatory compliance (including Dodd-Frank, MSRB, SEC, CCAR, Y9s, Call Reporting, 1099s), portfolio management, portfolio analytics, investment accounting, performance measurement, digital transformation, client on-boarding, collateral management (both for funding desk and derivatives), reference data management, implementation & integration, data governance & data transformation, and master data management (MDM).
• Strong working knowledge of financial instrument; especially equities, fixed income, structured finance instruments (including CDOs, CLOs, RMBS, CMOs, ABS), mortgage-backed securities (including TBAs and Dollar Rolls), interest rate derivatives, FX, futures, options, money markets, and bank loans.

TECHNICAL SKILLS

• Black Mountain
• Bloomberg
• Calypso
• Charles River (CRD)
• Longview (LVTS)
• CAMRA
• Geneva
• Markitwire
• Paragon
• Wall Street Office (WSO)
• CDO Suite
• SEI Trust 3000

PROFESSIONAL EXPERIENCE

Project Manager / Business analyst

Confidential, Charlotte, NC

Responsibilities:

• Developing and implementing collateral margining solution for Wells Fargo to be in compliant with FINRA 4210 for Reverse Repos and Covered Agency Transactions.
• Included in this is working with management, project stakeholders, and functional SMEs to document requirements and workflows from transaction initiation through closing.
• This entails implementing new business practices for handling of margin calls, collateral management, and reporting.

AVP Principal Consultant

Confidential, Charlotte, NC

Responsibilities:

• Customer Communication Management (CCM): Evaluated third party products that can be used as the enterprise-wide hub for all customer communications, providing a better customer experience by adding interactive communications on multiple devices and channels.
• Client Platform and On-Boarding: Gathering requirements for the creation of a full service client platform (e.g. support for marketing, sales, client relationship management, client on-boarding, etc.) that interfaces to all of the firm’s asset/wealth management services.
• Custody Segregation/Collateral Management: Enhance the firm’s Collateral Management system to provide reporting to its custody clients and client dealer counterparties.
• Security-Based Lending: Created BRD which will enable the bank to engage in security-based lending with the bank’s wealth management clients.
• The document covers all aspects of the lending process; from collateral management, loan-to-value ratios, valuation, loan administration& servicing, compliance, and systems that can support each of these respective functions.

Consultant/CDO SME

Confidential, New York, NY

Responsibilities:

• Served the law firm as a subject matter expert and expert witness with CDO covenants for a class action lawsuit.

SENIOR INFORMATIONIST

Confidential, C harlotte, NC

Responsibilities:

• Performed a current and future state assessment for the Customer Data Management landscape for American Century Investments.
• Identified capabilities, gaps, made recommendations for the future state architecture, recommended an operating model for their existing data governance efforts, created use cases, and created an implementation roadmap based on short-, mid-, and long-term needs.
• Created business process workflows for Fidelity/ Confidential Financial Services (NFS) to support the on-boarding of clients onto their middle and back-office services.
• In total created more than 50 workflows; including, but not limited to, trading, transfers, money movement, securities processing, statement processing, etc.

LEAD Consultant

Confidential, C harlotte, NC

Responsibilities:

• For LPL Financial, project lead for the implementation of a customized Master Data Management (MDM) solution for the creation of a golden copy of Security Master Data (all asset classes), Pricing, Entities (Party), and Account Master using Informatica MDM. Established the Data Governance practice via creation of a new data model, data profiling, and analysis to ensure data accuracy from source as well as establishment of platform for data stewards for continuous monitoring.
• Supervised the creation of business requirement documents (BRDs) for custom reports, workflows, and interfaces for State Street Investment Management Services (IMS) to support Alliance Bernstein’s wealth/asset management business. This included working with the technical architecture team to validate State Street’s custom database for proper design, field definition, and content.
• Implemented Calypso for State Street Global Markets (SSgM) to offer OTC Derivatives Clearing Services (in compliance with Dodd Frank) to their clients; clearing trades through the Chicago Mercantile Exchange (CME). In addition, configured Calypso so SSgM could become a Central Clearing Counterparty (CCP).
• The project included designing workflows, interfaces to downstream systems, UAT, and creating business requirements for operations, collateral management, finance, tax, risk, reporting, and technology.

MANAGING PRINCIPAL

Confidential New York, NY

Responsibilities:

• Created a fully detailed RFP for a large government-sponsored enterprise (GSE) to outsource their entire accounting back-office for their assets, liabilities, and derivatives books and records.
• Specific areas included treatment for hedge accounting, accrual accounting, valuations, receivables/payables, requirements for handling sophisticated derivatives, option embedded instruments, etc.

CONSULTANT/BUSINESS ANALYST

Confidential Boston, mA

Responsibilities:

• Advised Confidential on their fixed income analytic requirements and developed their plan to consolidate their trading platforms from Charles River Development to Longview Trading Systems.

DIRECTOR

Confidential, Boston, mA

Responsibilities:

• Evaluated Bloomberg and Charles River Development for a large Connecticut based hedge fund, to support their trade order management requirements, concentrating in Fixed Income, FX, Credit Default Swaps, and other complex derivative instruments.
• Defined the business requirements, workflows, engaged vendors for compatibility, and built consensus on technology selection.
• Project Manager for Ares Management, a large global alternative asset manager ($50B AUM), conducted requirements gathering and analysis for implementing a trade order management system (Black Mountain) for bank loans, performed user acceptance testing (QA), defined customization, workflow, and integration elements to align solutions with business drivers and end-user expectations.

Confidential

MANAGING DIRECTOR

Confidential, Rockland, mA

Responsibilities:

• Evaluated BlackRock Solutions, LatentZero, and Bloomberg for Babson Capital Management, a large asset manager ($110B AUM), to support trading, compliance and portfolio management for all asset classes for their General Insurance and Separately Managed Accounts. Negotiated key concessions from vendor, business, and IT teams; reviewed and recommended necessary changes to existing processes to leverage the strengths of selected platform.
• Supervised analysis and recommendation of risk management, performance measurement and client reporting enhancements that would position RockIT Solutions, a large wealth management service provider, to penetrate the domestic and global hedge fund and alternative asset management industries.

CONSULTANT/PROJECT MANAGER

Confidential, Santa Ana, CA

Responsibilities:

• Redesigned and developed the CDO implementation process, which reduced the time to implement a CDO deal from 3 weeks to 5 days.
• This process was used to implement over 150 deals with over 15,000 assets including bank loans, ABS, bonds, swaps, CDS and other derivatives.
• Implemented CDO Suite for asset administration, compliance and reporting and converted the bank’s existing CDO books and records to the new platform.
• Managed and performed QA on all production fixes, software and process upgrades for a 100+ user base.
• Developed and maintained the compliance rules for each CDO deal, including continuous monitoring to ensure compliance of each deal per its indenture.
• Served as a key liaison between globally dispersed senior management, business groups, and IT to align technology and processes with business objectives.

DIRECTOR OF PRODUCT MANAGEMENT

Confidential Waltham, MA

Responsibilities:

• Directed the Product Management and Development teams, consisting of 15 professionals; responsible for creating web-based software products for the structured finance industry.

DIRECTOR OF PRODUCT MANAGEMENT

Confidential, Windsor, ct

Responsibilities:

• Directed the Product Management team, for CAMRA, a fixed-income and equity trading, accounting, and reporting system that supports both domestic and global markets.

VP OF PRODUCT MANAGEMENT

Confidential, Boston, ma

Responsibilities:

• Recruited to initiate the business plan, define the market requirements, design the technical architecture and develop the majority of the software necessary to support the fixed income requirements of trading, portfolio management, accounting and custody/safekeeping for the banking and brokerage industries.
• Paragon was the first system to offer integrated analytics (bond swap, cash flow projections, duration, total return, rate shock testing, etc.) as part of the core system.

PRODUCT MANAGER

Confidential Andover, ma

Responsibilities:

• Product Manager for the Front Office Trading (FOTS) and Portfolio Management Systems (PMS), both were LAN-based systems that performed the real-time trading, accounting and reporting of fixed income securities.

SOFTWARE ENGINEER

Confidential, Cranston, ri

Responsibilities:

• Coordinated the conversion of Fleet Confidential Bank’s entire money market operations.