SUMMARY:

Action - oriented financial services professional with proven success in creating process improvements and developing initiatives that result in exceptional customer service and enhanced systems development. Consistently recognized for delivering significant cost savings by mitigating risk and devising solutions that promote increased efficiency, performance, and productivity. Extensive experience in organizational change, data analysis, operations, automation, communications, compliance, and project management. Decisive leadership competencies, and adept at responding to evolving strategic demands, maintaining competitive skill sets, and strengthening client relationships..

PROFESSIONAL EXPERIENCE:

Confidential, Hoboken, NJ

Lead Business Analyst, Information Technology

Responsibilities:

• Participated in all aspects of the SDLC: identifying requirements, designing screen mock-up, coordinating efforts and meetings with key stakeholders, testing, defect tracking, and post implementation reviews and support.
• Served as team member for numerous high-profile projects: new Network Management System, Account Master system, General Ledger Replacement, Regulatory Enhancements: KYC/AML Compliance, SFTR Reporting.
• Successfully served as Project Manager in the absence of dedicated Project Management resources.
• Developed RFPs and helped conduct vendor meetings and perform product evaluations as necessary.
• Consistently added value and delivered results in a challenging, diverse, multilingual, international setting.

Confidential, Jersey City, NJ

Lead Business Analyst

Responsibilities:

• Served in dual capacity as subject matter expert in cost basis exception processing while collaborating with customer service, operations, systems, and project management on internal enhancements and system defect remediation.
• Coordinated efforts of technology, business, and vendors to accurate and timely generate 1.8 million 1099 forms.
• Led a project for identifying, confirming, and uploading cost basis on assets received in physical form.
• Served as point person for the daily identification and resolution of cost basis position reconciliation breaks.
• Researched and addressed complaints from high value clients regarding 1099 and cost basis discrepancies.
• Formally recognized for providing exceptional customer service. Conducted daily training sessions to enhance the investor experience, streamline problem resolution, and improve the finesse level of communications.

Confidential, Jersey City, NJ

Assistant Vice President

Responsibilities:

• Acted as an analyst and liaison between technology groups, project teams, and business units during assessments of risk, the identification of growth and efficiency opportunities, and the development, testing, implementation, and support of system enhancements, client solutions, and compliance/industry related mandates.
• Partnered with IT to implement SWIFT messaging and secure a new client with annual revenue of $10 million.
• Contributed to the development of an announcement data scrubbing mechanism.
• Wrote hundreds of Microsoft Access VB 3270 screen scraping applications that increased cost savings and eliminated manual processes. Rewarded after one such program saved the firm $40,000 after its first use.
• Composed system requirements, authored training documentation, and coordinated various communications between Project Management, Marketing, Compliance, Operations, Technology, and Senior Management.
• Selected to act as a ‘Readily Deployable Associate’ during market disruptions due to the flexibility gained from extensive knowledge of the firm’s systems, operations, and inter-departmental relationships and dependencies.
• Supported Pershing’s ongoing commitment to inclusion and diversity by routinely volunteering to participate in internal/external mentoring, annual intern programs, and offering communications skills training to coworkers.

Assistant Vice President

Confidential

Responsibilities:

• Honored with numerous awards for outstanding service. Chosen to appear in a video promoting Service Excellence for the purpose of advertising and showcasing Pershing services. Video also featured in Pershing’s inaugural Annual Progress Report and was delivered to thousands of Introducing Broker Dealers worldwide.
• Single-handedly replaced a manual process with an intricate set of programs that interacted with mainframe systems to provide an efficient, rules-based product complete with MIS, error reporting, and residual processing.
• Teamed with IT and management to migrate from an antiquated, paper-based legacy system to a dynamic Web-based proprietary imaging solution, allowing document processing to occur in virtually any geographical location.

Senior Operations Manager

Confidential

Responsibilities:

• Acted as liaison between Pershing, Confidential, outside vendors, and transfer agents during the development and implementation of a new Custody system that allowed the firm to reduce costs through securities outsourcing.
• Oversaw Pershing’s annual Confidential project, which resulted in $55,000 in annual revenue.
• Reduced risk and enhanced control by achieving four record quarterly securities verifications in eight attempts.