PROFESSIONAL PROFILE:

• Over twenty years of diversified management and project analysis experience in industries including brokerage, banking, auditing, compliance, operations, trading, and vendor management with an emphasis on Cost Basis Reconciliation and Reporting.
• Strong attention to detail and effective communicator showing the ability to leverage technology in the analysis process.
• Experience in role of broker/agent, trader, research analyst, operations, as wells as client/customer.
• Extensive practical knowledge in compliance and audit projects including business analysis, audit, and remediation.
• Strong analytical, problem solving and communications skills with particular emphasis on clear detailed business requirements and functional specifications.

AREAS OF IMPACT:

Project Management, Business Analyst, Relationship Management, Change Management, Communication, Operations Management, Strategic Planning, System Integration, System Support, Gap Analysis, Vendor Management, Team Leadership, Compliance, Account Auditing, Remediation, Quality Assurance

INDUSTRY (BROKERAGE & BANKING) EXPERIENCE:

Settlements, P&L Repos. Proof & Control, Reorg. Reconciliation, Mutual Funds Reconciliation, Audit Teams, Euroclear & Cedel, Confidential Corrections, GNMA'S, FNMA'S, Brokerage Clearance, Coupon Collections, Corporate Trust Banking, Coupon Income, International Debt Operations, P&I Reconciliation, FHLMCs & CMOs (all phases), Global Custody, State Escheatment Recovery, Stock Record, Endowment & Foundations, Client Account Balancing, Corporate Actions (all phases), Mutual Funds Reconciliation, Dividends, Security Lending, Brokerage Clearance, Corporate Bonds, Corporate Trust Banking, Research and Recovery Income, International Debt Operations, and Maestro Loan Net

METHODOLOGY AND MANAGEMENT TOOLS:

• Methodology
• Project Management
• Internal firm project methodology
• Database Management
• Microsoft Access
• Operating Systems/Protocols
• MS - ­ Windows
• Desktop Tools
• MS Excel, Access and PowerPoint
• MS Visio
• Version Control
• Change Management
• Quality Center
• Internal Defect Tracking Software
• SunGard Phase 3 (OMINPLUS)
• Broadridge (ADP) BPS
• Broadridge GLOSS
• Broadridge ICI-­ IMPACT
• CCM-­ Intellimatch
• BETA System
• SmartStation
• ACATS System
• RECON System
• Star RECON
• Loan Net (Stock Loan)
• Bloomberg TOMS
• DTC-­ PTS
• PTC RUMBA
• VOX
• Global Plus
• Global One
• ILX
• VOX
• Reuters
• New River
• AUTOREC System
• Portia Accounting
• AUTEX
• ASP
• Euclid System
• Swift Suite
• Skeleton Clean-­ up

PROFESSIONAL EXPERIENCE:

Confidential, Jersey City, New Jersey

Business Analyst

Responsibilities:

• Performed data mining function related to gaps and issues in files as presented by clients.
• Reviewed files and made appropriate changes for re - ­ batched or new file submission.
• Provided reconciliation of client accounts and made revisions as needed.
• Reviewed functional requirements and made changes in coding when necessary.
• Tracked all issues and code changes made, and communicated business impact to appropriate channels.
• Tested all changes in coding -­ Quality Assurance function.
• Responsible for mitigating and tracking problems in code for upcoming regression testing process.

Confidential, San Antonio, TX

Business Analyst

Responsibilities:

• Responsible for testing and resolving issues of New Cost basis Platform Scivantage Maxit System; products included: Equities, Mutual Funds, and Future Fixed Income.
• Responsible for identifying and tracking defects throughout the life cycle; in addition to, providing recommendations and changes for day-­ to-­ day processing, identifying workarounds and/or suggesting system code changes to enhance processing.
• Reviewed Maxit FRD Requirements and channel them to accept and/or reject SunGard Phase3 data Metrics.
• Tracked, monitored, and resolved defects during User Acceptance Testing and Regression Testing and recommend to business partners of changes and how they affect business channels.
• Tracked system outages and communicated to the business lines on how they would impact their day-­ to-­ day business.
• Tracked changes to 1099B’S and corrected if applicable through Confidential .
• Updated Client 1099 cost basis as needed including adjusting delta corrections.
• Communicated to the Tax Team of corrections to Cost via Internal Confidential Link.

Confidential, Jersey City, New Jersey

Business Analyst

Responsibilities:

• Built out the team business training scope including our Project Definition, Business Requirement Definition and Functional Specification Design documents.
• Reviewed new System data PAS and tested versus present platform Broadridge (ADP) BPS.
• Provided leadership and guidance to team members on creating test plans, test cases, test scenarios, and how to retrieve well-­ rounded test cases for User Acceptance Testing, Production Readiness, and Integration Testing phases.
• Reviewed, updated, and certified training documentation prior to User Acceptance Testing (UAT) during all test models/cycles.
• Retested items throughout the entire project life cycle (Unit, System, User Acceptance, Production Readiness, and Integration).
• Built and maintained test models E2E and promote valid code and tracked defects thru Quality Center.
• Addressed and tracked defects and made recommendations on approval or denial of testing for all new code promotion.

Confidential, St Louis, Missouri

Project Manager

Responsibilities:

• Built out the team business training scope including our Project Definition and Business Requirement Definition (BRD) program deliverables.
• Evaluated new products and training impacts for both the home office and branches.
• Reviewed, updated, and amended program training materials and documents as needed.
• Performed ancillary testing as needed.
• Updated Quality Center with defects and tracked until resolution.
• Addressed concerns and/or issues with our business partners including external vendors.
• Addressed and tracked Financial Advisors requirements.
• Managed system access by updating TSAR Levels on BETA as needed.
• Built and maintained Voluntary and Mandatory Merger and Acquisition files during conversion events.
• Built and tested Capital files HCCH in Beta.
• Updated Beta Host with new code based on testing results.
• Delivered program deliverables (BRDs and others) within required timelines.
• Hosted several meeting with business partners to review BRDs and gain key stakeholder approval.
• Updated and promoted new code, ran SQL updates and testing scripts based on new code releases.
• Performed UAT testing throughout each testing cycle.
• Reviewed UAT testing results with business partners and external vendors to provide status on the overall testing results and gain resolution for outstanding issues.

Confidential, Jersey City, New Jersey

Settlement Specialist

Responsibilities:

• Managed and processed all 15A6 reporting away trades and reconciled for several international business lines.
• Supervised, processed, and settled all FX messaging trades including completing all reconciliation.
• Handled and oversaw all matched E/C trades in Broadridge (ADP) Gloss.
• Managed Euroclear matching and funding.
• Ran Daylight funding and worked with cross teams to secure collateral.
• Processed all Pacific Rim settlement as well Crest and CDS.
• Handled FX matching and confirmation.
• Acted as liaison to custodians and updated instructions when needed via swift messaging.
• Fielded all calls related to Cost Basis and Corp Actions events.
• Ran parallel testing from BETA to Broadridge (ADP) BPS Daily and updated capital files.
• Ran ATF files with Thomson Reuters for parallel testing and conversion events.
• Manually corrected all cost basis related exceptions.
• Updated and revalued cost basis on SmartStation platform.
• Contacted Vendors and Transfer Agents to supply taxable scales on all issues.
• Updated Corporate Action accounts and made adjusts to the General Ledger across all accounts.
• Updated conversion team weekly on system issues during test phase.
• Organized and led conversion and conversion mock conversion events below are key tasks but not limited to:
• Developed conversion approach,
• Managed conversion events,
• Built out several cross workstreams conversion event task list that illustrated day-­ by-­ day tasks,
• Built out conversion contingency plans
• Documented Go No Go functional group’s criteria
• Gathered file conversion requirements and balancing procedures.
• Played a key role in building out a Command Center’s infrastructure from the ground up with the Program Management Team leading the conversion event.
• Participated in working directly in the Command Center by tracking tasks and issues with technical teams and business teams and vendors. Key tasks included but not limited to:
• Tracked and reported progress of implementation,
• Tracked, prioritize, and facilitate issue resolution
• Coordinated communications and status reporting to both internal and external stakeholders
• Hosted team status meetings to ensure daily conversion updates were communicated to all vested parties.

Confidential, Richmond, Virginia

Training Development Team Lead

Responsibilities:

• Managed training team for financial product conversions for end-­ users (Financial Advisors, Sales, and Back Office) on-­ site.
• Trained new users of BETA and how it applies in the New SmartStation.
• Oversaw resolutions and reported all issues to Command Center due to conversions i.e.: system, technical, and financial.
• Ran and viewed BETA updates.
• Monitored files sent to BETA Charlotte for queries.
• Conducted training sessions both classroom-­ led and one-­ on-­ one with end-­ users on workstation applications.
• Trained class of 35 trainers on SmartStation and BETA for upcoming conversions and periodic updates.
• Assisted in the reconciliation of all Fixed Income Products Conversion onto Broadridge (ADP) IMPACT system.
• Reconciled all cash related differences, DTC, Euroclear, and multiple cash accounts.
• Researched historical breaks as well as breaks generated daily by the system Loan Net Maestro.
• Advanced research using Showcase inquiry system of multiple account differences within a loan or Shadow.
• CUSIP reconciliation using (IMPACT Open Items). Shaw System Recon Enterprise reporting.
• Was responsible for identifying customers entitled to breakpoints BETA FIDO on mutual fund holdings.
• Researched customer primary and related accounts.
• Reconciled the customer accounts to determine if additional discounts were due.
• Accountable for reading and interpreting Mutual Fund Prospectus to determine Rights of Accumulation and Letters of Intent.
• Trained additional service representatives in breakpoint issues.

Confidential, New York, New York

Treasury Analyst

Responsibilities:

• Responsible for daily opening and closing of all Repos.
• Ensured allocated income matched BNP-­ ICI statement.
• Reported directly to traders as Confidential Liaison Bonds Middle Office.
• Worked with Counter-­ Parties to ensure Confidential Date match on all issues and notified traders of any book, price or issues discrepancies.
• Worked directly with client’s trouble shooting issues and answering questions.

Confidential, New York, New York

International Settlements Senior Business Analyst

Responsibilities:

• Matched all unmatched trades in Euroclear for timely settlement.
• Processed all issues through the ISIS system and supported systems i.e., Euroclear, Vox, Moss, Global-­ Plus, CCM-­ Intellimatch.
• Advised custodians via swift messaging of any changes.
• Maintained all other Euroclear accounts for 5 international business lines.
• Crossed trained additional staff in the use of the ISIS system and ICI reporting.
• Balanced available cash all accounts to ensure Daylight availability.
• Settled all FX currency for International Settlements Group.

Confidential, Jersey City, New Jersey

Corporate Actions Senior Business Analyst

Responsibilities:

• Applied cash to custody accounts relating to corporate actions.
• Handled and processed all Escheatment items.
• Accountable for training additional staff in the use of Global-­ Plus.
• Tested Global-­ Plus for compatibility as new user.
• Notified custodian of ongoing fails past settlement.
• Acted as Trading Liaison between Settlements and Administrative departments.
• Matched all items in Euroclear and reconciled any unmatched items.
• Balanced and reconciled all U.M.S Issues and Recovery Rights to stock record.

Confidential, New York, New York

Operations Manager

Responsibilities:

• Trained all Staff, Traders, Sales Personnel, and Controllers on the use and benefits of ADP, Euclid and Platinum Accounting.
• Managed the conversion of all ADR US order trades and reconciled as needed.
• Handled retail account for customers and acted as Confidential Liaison.
• Established all new accounts.
• Acted upon all stock record positions reconciliations.
• Performed Euroclear Settlements through Bear Stearns.