SUMMARY:

• Hands - on Senior Consultant 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. Successful in managing domestic and off-shore project, development, and implementation teams that deliver future state requirements.
• Comprehensive knowledge of the end-to-end business functions/operations for the global capital markets;
• Deep domain experience in trading & operations, pre & post trade compliance, regulatory compliance (including Dodd-Frank, CCAR, Y9s, Call Reporting, 1099s), portfolio management, portfolio analytics, portfolio accounting, securities processing, custom reporting, client on-boarding, collateral management, data governance & data quality management, and master data management (MDM);
• Strong working knowledge of financial instrument; especially fixed income, structured finance instruments (including CDOs, CLOs, RMBS, CMOs, ABS), mortgage-backed securities (including TBAs and Dollar Rolls), interest rate derivatives, equities, FX, futures, options, money markets, and bank loans.

TECHNICAL SKILLS:

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

PROFESSIONAL EXPERIENCE:

AVP Principal Consultant

Confidential, Charlotte, NC

Responsibilities:

• Solution architecting and building & leading high-performance teams at M&T Bank/Wilmington Trust.
• 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.

SENIOR INFORMATIONIST

Confidential, Charlotte, 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/National 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.
• For BB&T, created a data quality framework (using Informatica IDQ) and designed a re-usable process to validate, standardize, and normalize a targeted institution’s data (e.g. loan & lease portfolio data, investment portfolio data, client data, etc.) when performing due diligence on potential M&A activity.

LEAD Consultant

Confidential, Charlotte, NC

Responsibilities:

• 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.

DIRECTOR

Confidential, Boston, mA

Responsibilities:

• 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, receivables/payables, requirements for handling sophisticated derivatives, option embedded instruments, etc.

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.

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.
• Advised the investment division of MetLife, a large insurance company ($350B AUM), in the selection of an enterprise-wide risk management system. Responsibilities included defining the business requirements as well as engaging with vendors to screen for compatibility with these requirements.
• Reviewed the product functionality for Calypso, a major sell-side derivatives vendor; recommended enhancements required to expand their service capabilities to support the buy-side market.
• Performed an evaluation of the strengths and weaknesses of Misys’ bank loan system, LoanIQ, including a competitive assessment of the product relative to other bank loan systems.

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:

• Managed design and development of web-based/ASP solution for the structured finance industry - conceived and delivered iCDO for CDO portfolio management, cash management and compliance. Revenues in FY 2002 exceeded $3.2 million.
• Designed the database architecture as well as coded the nightly processing cycle and the User Interface.
• Key member of the management team that successfully sold iCDO to Confidential to use as their system of record for their CDO Trustee operations.
• Directed development and early delivery of initial release of iCDO, which generated $1million in revenue.

DIRECTOR OF PRODUCT MANAGEMENT

Confidential, Windsor, ct

Responsibilities:

• Managed and designed the initiative to enhance support for TBA and Dollar Roll processing that generated $12.5 million in revenue.
• Led the product management team responsible for researching and defining CAMRA’s business and product requirements including the Euro infrastructure and conversion.

VP OF PRODUCT MANAGEMENT

Confidential, Boston, ma

Responsibilities:

• Solicited and received venture funding for a major business development initiative (MBDI) of $750,000 to develop the product.
• Solicited four beta sites that represented strategic market segments. Delivered Paragon in less-than six months with the first customer going live two months later.
• Within 3 years, Paragon had unseated every major competitor and established itself as the market leader, selling over 100 Paragon licenses to every tier in the banking sector, including the top 10.
• Built and managed the product management, product development, QA, and implementation teams into a profitable business unit that consisted of over 30 professionals with an annual budget exceeding $4.0 million.

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.
• Designed, programmed and documented application software supporting money market operations for the banking and brokerage industries.