SUMMARY:

• Diverse Financial Services Specialist with15+ years of Investment Banking/Financial Services experience and strong leadership abilities. Throughout my career, I have been involved in all aspects of Front, Middle and Back Office Operations including Cash management, P&L, Trading & Operational Support, Treasury Operations, and Management for several top Investment Banks. Confident and poised in interactions with individuals at all levels.
• Experienced working in a fast - paced demanding environment which requires strong organizational, technical, and interpersonal skills as well as superior client interfacing. Detail-oriented and resourceful in completing projects with the ability to multitask effectively. Knowledgeable and Experienced in:

PROFESSIONAL EXPERIENCE:

Confidential

PROJECT MANAGER

Responsibilities:

• Create and enhance analytical tools and implement processes to ensure the quality and efficiency of current systems and technology in regards to FATCA and Dodd Frank Compliance protocol in coordination with the IRS.
• Part of theT+2 Task Force which is the result of the Central Securities Depositories Regulation (CSDR) proposal that aims to improve settlement efficiency and reduce counterparty risk across European markets (EMIR).
• T+2 settlements are expected to: reduce counterparty risk, a shortened settlement cycle will decrease the length of exposure, improvement in operational efficiency and harmonization of settlement and reconciliation will help ease market differences.
• Subject matter expert of Fixed Income, Settlements, Reconciliation, Payments, Money Market and Metals Trading transactions.
• Implement the methodology for calculating the necessary Tax withholding for payables to clients in regards to the IRS audit procedure.
• Knowledge of Quality Management tools and techniques working closely with a number of stakeholders across multiple departments, including IT, Tax, Onboarding and Operations.
• Project management methodologies: work plans, escalation protocol, dependency management, issue mitigation, governance, etc.
• Serve as a subject matter expert in dealing with clients on portfolio data, UAT testing, test case requirements and processing issues.

Confidential

SENIOR BUSINESS ANALYST

Responsibilities:

• Major Dodd Frank initiative to reduce systemic risk and improve operational efficiency, particularly through the broader adoption of tools to increase the volume of OTC/Rates, Futures, and FX and Commodities Trading transactions confirmed electronically via Bloomberg.
• Take ownership of the legal document family agreements (ISDA, CSA and Amendments) and correct all errors in OCR.
• Data management of Credit Risk process flows in an initiative to consolidate multiple security and pricing data.
• Team lead in the preparation of client clearing activities in scope with what will be populated in the CDU system in collaboration with Credit Risk and Legal.
• Cleansing and loading of data (ETL - Extraction, Transformation and Loading) in regards to the Dodd Frank initiative.
• Provide Metrics and maintain proper efficiencies in all stages of development and user acceptance testing.

Confidential

SENIOR FX ANALYST

Responsibilities:

• Currency Transfer Breaks: Query data from GL system, investigate and reconcile to counterparty data.
• Settlement Date Breaks: Query trade transactions from UFX system, investigate and reconcile between Inventory System and GL postings, follow up with support teams to clear issues.
• Coordinated and processed monthly financials, budgeting and allocations for the FX derivatives group.
• Ensure all aspect of derivative trade capture; maintenance and settlement are carried out in a timely manner.
• Responsibilities include financial and analytical support activities related to Interest & FX P&L reported within ICG Treasury.
• Run numerous data queries from GL system format and populate data into various FX analyses.

Confidential

SENIOR BUSINESS ANALYST

Responsibilities:

• Coordinated the single broker dealer migration of client & account static data and wire settlement instructions.
• Proactively reviewed current processes to identify and mitigate risk coordinating with Front Office and IT regarding Market Data.
• Performed in-depth analysis of performance based cost effective items that contributed to high risk exposure.
• Analyzed and documented business requirements, formulating and executing test plans, SQL query statements and analyze large datasets resulting in problem resolution and improvement recommendations in Futures/Options contracts.
• Reviewed and reconciled migration files related to client accounts to ensure various systems synchronization (Nigel, FPS, NEWS, MCD, IPS and GDI).
• Responsible to ensure the settlement of assigned collateral instructions for MBS deals and escalate all breaks, reconciliation and settlement issues accurately via TOMS (Bloomberg).

Confidential

SENIOR ACCOUNT ANALYST

Responsibilities:

• Confirmed with counterparties that all Equity Derivative and Swap confirms coincided with proper language to the ISDA protocol.
• Maintained broad knowledge of fixed income credit sectors (municipal bonds and treasury products), legal structures, and issues which assisted portfolio managers in making timely trades of securities to be bought or sold.
• Responsible for all communication with the business and IT to reach targeted deadlines.
• Reviewed and dispersed correct Swap, Futures/Options and Bond payments to counterparties and run ad-hoc reports.
• Prepared reports reflecting database and data analysis activities for market data with meticulous attention to detail and accuracy.

Confidential

SENIOR OPERATIONS ANALYST

Responsibilities:

• Reconciliation of open transactions related to the mitigation of trading, financial and operational risk and the handling of ad-hoc requests.
• Assisted the IT team with the development and implementation of the swap reconciliation tool for the Summit trading system.
• Equity derivatives products traded including OTC & Listed Options, Equity Linked Notes, Swaps and FX.
• Product testing and documenting scenarios in order to facilitate a better understanding of the Summit trading system.
• Liaised with account executives to submit RFPs in a timely manner and ensure there consistent with the conveyance of the point of view.
• Managed all RFP submissions and confirming there attached to the appropriate sales account by key market segments.
• Worked with business users to analyze and document business requirements, system functional specifications as well as screen design and user interface.

Confidential

DOCUMENTATION ANALYST

Responsibilities:

• Confirmed trade documentation reflects proper economics and agreed ISDA Protocol (Credit Derivatives, Equity Swaps and FX).
• Effectively managed entire documentation process in order to minimize operational risk (paper confirms and electronic platforms).
• Applied knowledge and understanding of dealers and products to ensure the appropriate prioritization of outstanding items.
• Coordinated with dealers to resolve any discrepancies and unresolved issues.
• Extensive interaction with trading desk, settlement department, and affirmation team.

Confidential

ANALYST

Responsibilities:

• Fixed Income Product Control which included preparation of the Daily P&L for the Asset Liability Management Area and analysis for Fixed Income Derivatives Trading.
• Daily Preparation of Market Rates Package that generates the Daily Yield Curve for the Branch.
• Performed an independent and comprehensive analysis of Asset Liability Management Area to evaluate credit risks performance and to ensure the compliance with internal risk and rating methodologies.
• Analyzed and produced daily market price conformity report for trades with large deviations in order to minimize risk.

Confidential

EQUITY DERIVATIVES ANALYST

Responsibilities:

• Reconciled positions and trades between the MO risk management system, (Summit) and records i.e. TMS, ITS, RISC and MTS.
• Adjusted portfolio products and trades (Commodities, FX, Cliquets, Range Options and Best off/Worst) according to deal documents.
• Reviewed structured products and trades from smart ticket or paper tickets for accuracy and completeness and booked structured trades in MO P/L risk systems (GEDS, Summit, and Spreadsheets).

Confidential

ANALYST, Trade Management

Responsibilities:

• Worked with third party vendor applications (Omgeo) to proactively maintain current market settlement information for customer accounts.
• Valuations subject matter expert in documenting functional specifications and data sourcing for International Trades (FX).
• Managed requests for new and updated accounts as well as analyzing requirements and defining solutions using to upper management.
• Identified problematic issues and proposed infrastructure overhaul to maximize efficiency and accuracy.
• Added and maintained settlement (DTC, FED, NOSTRO and Euroclear-International and Domestic) instructions integrity.

Confidential

SALES/TRADING ASSISTANT

Responsibilities:

• Entered trade tickets ( Corp Bonds & FX) and allocated to appropriate accounts using Bloomberg, Market Axess, Summit, and Tradeweb.
• Researched data requirements and closely worked with traders to ensure clean and complete risk representation.
• Confirmed all electronic Fixed Income (MBS and CDS), cash, foreign exchange and credit derivative trades.
• Calculated and amortized interest expense over the life of all bonds as well as the accretion value until maturity, utilizing Bloomberg.
• Reconciled trade breaks with internal functions and external brokers to verify DTC, FED, NOSTRO and Euroclear settlements.
• Cross d market data and coupon payments via Bloomberg to correctly calculate the Net Asset Value of daily P&L.