OBJECTIVE

• Skilled financial professional with a track record of professional success, looking to utilize analytical and project management skills to achieve financial firm goals

PROFESSIONAL EXPERIENCE:

Confidential, Chicago IL

Business Analyst - Security Master

Responsibilities:

• Member of Schwab’s Enterprise Security Master (ESM) team. Assisted senior managers, developers and other internal stakeholders in transferring from an outdated securities platform to the new proprietary model.
• Frequent use of SQL to pull/query varied security data. Used data to expand or enhance the ESM platform, provide onboarding groups requested information, and ad-hoc managerial requests
• Coordinated with developers/programmers to implement new additions to the Security Master, fix bugs and identify miscellaneous issues with the system. Assisted developers with understanding new business documentation and implementation.
• Participated in QA of new additions/updates to Confidential ’s securities database. Worked with developers as well as end-users of securities platform via UAT to confirm implementation of new additions to the database. Discussed potential changes to database development processes and validated that changes were working as intended.
• Created Data Dictionary entries, customized and mapped out already present entries. Mapped out data lineage of securities reference data relating to the Data Dictionary to more easily access the database.
• Managed the internal inquiry inbox. Fielded various questions about the new system from various UAT-based stakeholders and recommended thoughtful changes to security data services.
• Worked with primarily with fixed income, structured products, collateralized/asset-backed securities, equities and derivative/OTC products.
• Created Excel macros for coworkers to speed up/enhance their daily securities processing routines.
• Created summary spreadsheets in Excel for Senior Managers to track progress and needs of different onboarding stakeholders. Used pivot tables to summarize progress and v-lookups, formulas to aggregate data from other spreadsheets into these summary sheets.
• Wrote business requirements and process flows for the division’s Operations teams. Described how to set up securities manually in database, look up and gather relevant information from outside sources.

Confidential - New York, NY

Market Regulation Analyst

Responsibilities:

• Oversight of Confidential s NYSE/AMEX exception reports. Track potential market violations on exchanges, focusing on open/close of trading sessions.
• Analyze excel reports, utilize Bloomberg and proprietary software to find potential regulatory violations according to stock exchange rules. Focused on execution - based aspects of the trade life cycle, validating market data was in line with exchange guidelines.
• Assess exception reports based on history of violations, prior conduct for Designated Market Makers and other market participants. Ad hoc assignments for intraday market trading ensure Market Makers provide liquidity throughout the day according to standardized thresholds.
• Inquired and resolved Member Firm issues relating to matters assigned by Confidential managers/directors. Closed 60+ Confidential cases regarding market participants on open, close, and intraday concerns.
• Supported Senior Analysts in filing their market maintenance issues. Assessed issues with regards to NYSE/AMEX Rules 123D, 79A.20, Rule 15, Reg. SHO and other regulations.

Confidential -Long Island City, NY

Financial Data Analyst

Responsibilities:

• Regulatory excel-based assignment undertaking analysis of past client fees, remodeling and crediting back client accounts identified with discrepancies. Included Confidential ’s Wealth Management, Private Bank and other foreign and domestic areas.
• Reported periodic results of discrepancy findings to manager, tracking total impact on client accounts
• Discovered and recommended new processes for calculating financial impacts on client accounts
• Focused on Citi regulations regarding client fees, confirming that fees are in line with original contract rates.
• Extensive use of excel spreadsheets and portfolio databases to identify mischarges, contract deviations. Filter through large arrays of client data to find inconsistencies and make ensuing corrections
• Ad hoc projects related to other Citi wealth management divisions.
• Identified $500,000 in overcharges, corrected 400+ accounts with discrepancies from original contract rates

Confidential -New York City NY

Equities Trader

Responsibilities:

• Managed various equity positions with firm capital. Used Excel to track relevant market data
• Focused on short-term fundamentals and participants’ reactions in the market. Used Level II quotes to identify specific institutional buying and selling pressure at important price levels
• Worked with senior traders to apply systematic technical skills to the equities markets
• Analyzed an array of market conditions and adjusted strategies accordingly
• Tracked interest rate futures performance, option statistical measures in excel pre-market