SUMMARY

• Strong combination of business acumen, technical proficiency and communication skills
• Strong business Implementation and Analytical skills with the ability to liaison between the technical and operational sides of the finance industry
• Strong background in AML/KYC and ISDA Compliance on both Operational and Technical sides.
• Strong background in Cash and Equity Management on both Operational and Technical sides
• Extensive experience as a liaison between finance based client, and IT Professionals for implementations
• Development of a financial software as a trainer to end users as well as a system tester
• Strong base of experience in treasury operations with excellent cash management and derivative processing skills as well as a background in portfolio administration and fund accounting
• Extensive knowledge of financial products including Equities, Fixed Income, Options, Futures, and compliance
• Developed cash management operations for both Olympia Capital and Confidential which are in use to this day, Middle Office Trade confirmation for Swift, Money Market Funds and bonds
• Reference Data project including testing and script writing
• Proficient with Microsoft: Word, Excel, Visio, Pivot Tables, V Lookup, Change Management Development, Access and Windows; FX and Electronic Trading, PEGA, Actimize, Markit, Geneva, Advent, Bloomberg Systems, Quick Books, Reference Data, Outlook, Quality Center, SQL, Project Management

PROFESSIONAL EXPERIENCE

Business Analyst

Confidential, New York, NY

Responsibilities:

• Lead Testing for Production the addition of a new application in Cash & Treasury Operations area
• Wrote and executed test scripts, SQL Queries, QA assessments for Treasury Operations on PEGA Upgrade
• Establish Trade Data warehousing and documentation
• Designed and created scripts and execution for UAT Testing for PEGA in Word and EXCEL
• Creating Scripts and posting documentation in Quality Center for PEGA Served as point between US and UK offices
• BRD Creation on enhancement in Compliance and Treasury areas related to PEGA.
• Also, currently working as an end user on SWIFT in the Payments/Treasury area
• Wrote a user guide for SWIFT inputting using Visio, EXCEL and Word

Confidential - Brooklyn, NY

Assignment completed

Responsibilities:

• ISDA and KYC Documentation and form completion in Markit System
• Lead Client Onboarding and Reference Data documentation/warehousing team
• Served as point between Project Manager and Upper Management for Metrics reporting
• Daily and weekly metrics reporting to upper management, using EXCEL as an updating tool
• Creation of work flows and reporting procedures for compliance documentation in Markit System and Risk Management

Confidential, Jersey City, NJ

Assignment completed

Responsibilities:

• Testing for Production for the addition of a new application in Retirement Plans Operations area
• Prepared and executing test scripts, SQL Queries, QA assessments for Retirement Plan Operations Area
• Support, design and create scripts for UAT Testing for Quality Center using EXCEL
• Current project: Implement minor enhancements to existing functionality across the retirement plan platform
• BRD Creation on enhancement Document warehousing concerning Risk exposure

Confidential, New York, NY

Responsibilities:

• Reference Data Production including testing and script writing, specification gathering and documentation
• Testing Production for the addition of a new major application in the finance and operations area
• Data Documentation and specification writing for Quality Assurance and Data Management, SQL Queries
• Prepared and executing test scripts for Risk Management in Mantas and Asset Control
• Reference Data: including UAT testing and script writing for BRD and FRD, attended to connectivity issues
• Ran calls on Data Management on Quality Metrics and Audits for Risk Management and IB

Confidential, Brooklyn, NY

Responsibilities:

• Economic reconciliations on current JPMorgan positions and cash, General Ledger transactions related to current portfolios as well as legacy Bear Stearns position
• Prepared excel Ledger Reports for upper management
• Assist in the preparation for SOX testing
• Served as a tester for SOX
• Document and track SOX testing for Operations Department
• Managed a team of three contracted SOX testers
• Assisted in Production of an FX currency module and ISDA, documentation on Security Master for Risk Management and IB Group.
• Consulting on the wind-down of Lehman Brothers Holdings
• Prepared accounting & General Ledger excel Reports for upper management
• Economic, Cash and Equity reconciliation on small and mid size bank portfolios to ensure agreement on final receive/pay amounts with counterparties, this is done receiving information downloads from systems such as Reuters and DTCC.
• Outline any compliance issues including ISDA documentation related to the wind down for Legal Department and Risk Management

Project Management Specialist

Confidential, New York, NY

Responsibilities:

• Extensively involved with new Client implementation of company’s licensed software, including researching and prioritizing Clients’ needs and objectives, resolving compliance and Standards and practices issues as they arose and meeting agreed-upon deliverables.
• Provided technical and financial management, accounting and compliance support in the product design and development of financial software including download information from DTCC and Reuters.
• Functioned as client relationship contact on technical issues including UAT testing and Script writing.
• Performed extensive research and assisted with the choice of vendor for the financial compliance module.
• Assisted with the sales and marketing of the company’s Trade/ Cash Management product to new client leads.
• Wrote work flow for the trade break management and derivative reconciliation module that worked with trade management system.
• Designed work flow (schematic) of a Mantas and Actimize based cash management and FX module that worked in conjunction with established trading system. Served on Implementation team for Sun Trust Bank project and a tester for Millennium upgrade project and trainer of End users.
• Ran parallel testing between existing in house system and the on boarding of new systems including Advent-Geneva

Consultant

Confidential, New York, NY

Responsibilities:

• Provided Operational support for the Trading Desk. Posted adjustments made to trading desk General Ledger.
• Created and updated deal tracking system. Managed for deal settlement and liaised with Brokers
• Prepared ISDA/ KYC Compliance Documentation and verification. .
• AML/KYC post-trade documentation, Risk Management and compliance.
• Supervised a team of 4 consultants

Operations Manager

Confidential,Stamford, CT

Responsibilities:

• Handled repurchase agreements. Managed credit facilities, collateralizations, derivative processing and FX/ Electronic currency. Handled settlements and confirmation(s) for Money Market Funds products including equities, municipals, fixed income, derivatives and Collateralized Debt Obligations
• Researched and analyzed availability of cash across a multiple of currencies for investments. Managed cash movements, derivative processing consisting of Equity Swaps, Hedge Swaps, with a concentration on Multi Currency Swaps and trade bookings. Administered cash related to subscription and redemption of funds. Processed money movements for FX hedge rolls, ledger transactions, credit facility, swaps, options, fixed income, derivatives and FX and Electronic currency transactions. Managed valuations on all portfolios across five currencies. Designed and over saw implantation of a UNIX based cash management and ledger systems upon arriving at Parker and trained all co workers on the systems operation and the tie in to custodial bank operations, updated and maintained all required reports and related documentation; each report was created in the client’s home currency. Initiated analyses of cash flows, upgraded Security Master, Worked in association with Portfolio Manager to resolve any issues. Established and led a diverse professional team.
• Ran implementation parallel testing between existing in house system and the on boarding of Advent-Geneva
• Served as liaison between End Users and IT (Advent-Geneva)
• Trained End Users on Advent Geneva Middle Office, trade confirmations and settlements

Accounting Operations Manager

Confidentia, New York, NY

Responsibilities:

• Performed available cash analyses as well as viability analyses of domestic and foreign investments.
• Worked with Portfolio Manager to resolve a variety of problems including settling discrepancies, bookings, forwards and cash projections across multiple platforms such as derivatives and fixed income.
• Handled repurchase agreements. Managed credit facilities, collateralizations, derivative processing and FX/Electronic currency, maintained Security Master.
• Handled settlements and confirmation(s) for various products including equities, fixed income, derivatives, municipals, fixed income, Risk and Collateralized Debt Obligations.
• Designed and maintained an in house based cash management and General Ledger systems, trained coworkers on the system operation and its relationship to the custodial bank system.
• Ensured ISDA compliance at all times. Increased departmental productivity by updating user status information in bank systems and on web sites.
• Served as the Point of contact for clients and testers during box SAS and SOX testing
• Ensured the on-time payout and processing of investor transactions. Established and maintained business relationships and functioned as a liaison with branch offices in France, Canada and Bermuda and our custodial banks (both overseas and domestic).
• Ran implementation transition team for the change over from Prosper to Advent-Geneva, controlling parallel testing
• Served as the liaison between the operational side and IT
• Trained End Users on Advent Geneva Middle Office, trade confirmations settlements and SWIFT
• Cash Flows and forecasting

Lead Plan Administrator

Confidential, Purchase, NY

Responsibilities:

• Responsible for $48 million in assets for pension and 401(k) accounts.
• Handled all account transactions, ledger transactions and postings including distributions, contributions, and loans.
• Generated all required reports and financial statements. Developed and maintained highly successful relationships with investment institutions, brokers and the human resource personnel of participating organizations.
• Lead Administrator for a team of twelve and two Junior Administrators

Senior Investor Representative

Confidential, Purchase, NY

Responsibilities:

• Updated performance, cost basis and gain / loss information for shareholders.
• Served as in-house IRA and Retirement Plan Specialist.
• Maintained on a daily basis industry comparison and fund reports for Chief Financial Officer, Portfolio Managers and company President.
• Managed daily and quarterly updating of settlement and Blue Sky reports, and handled general shareholder account questions and problems for preferred clients