SUMMARY:

• Senior Financial Executive with extensive experience in front and back office operations and systems in Global Insurance, Banking, Brokerage, and Wealth Management.
• Unique ability to move project initiatives forward in a cross - functional and matrixed organizational model. Regarded as a “hands on” leader, experienced in building or improving existing operations and technology by applying a standardized lifecycle (SDLC) approach.
• Achieved major s in the integration of multiple acquisitions and management of key strategic projects for both domestic and international operations.
• Expert level knowledge of Excel, Word, Power Point, SharePoint, SQL, Visio, JIRA, MS Project, Access, Business Objects, Six Sigma Tools, PMP-PMBOK (Project Management Body of Knowledge), HP PPM and CA Clarity.
• Strategic Planning and Analysis
• Program / Project Management (PMO)
• Financial Data Management
• Risk and Exposure Management
• SDLC Methodologies: Waterfall, RUP, Agile
• Implementation - Build, Test, Deploy
• Integration and Due Diligence
• Process and Infrastructure Improvement

PROFESSIONAL EXPERIENCE:

Senior Consultant

Confidential

Responsibilities:

• Developed a business proposal for Perficient Consulting to validate their statement of work for the integration and implementation of a system supporting a large bank and clearing firm. Accomplished in the design, development, and management of highly effective Operations, IT effectiveness, business process improvement/outsourcing/off shoring, M&A due diligence and integration, best in class global customer service delivery and large-scale processing operations. Strategic growth initiatives included global expansions such as country start-up operations as well as large complex IT initiatives, transformations, data management projects, data mining and reengineering to create common administrative and customer service operating platforms.

Confidential, Melville, NY

Responsibilities:

• I worked with the Technology area and the Product Manager to develop sprints (story boards) based on the business requirements, honing -in on product functionality and ensuring projects were rolled out months ahead of time.

Senior Project Manager/ Business Analyst- Consultant

Confidential

Responsibilities:

• Senior Project Manager/Business Analyst - supported the Accounting and Technology Areas in updating the Financial System known as Financial Focus. The objective was to automate the processing and tracking of the Adult Protection Service Area requests, process the bank ACH file of benefits received, interest earned, exceptions, and requests to transfer funds and make payments, automate bookkeeping for each client, allow for segregation of duties and internal controls, and simplify the process of recordkeeping, communications with bank and bill payments and integration with APS’ client management system. This automation facilitated communications between FMU and APS and enforced business rules to ensure proper handling of financial management tasks.

Confidential, New York, New York

Responsibilities:

• The Phoenix platform was the current System of Record (SOR) for Operational Risk Management across the organization and was critical to the bank’s operations with over 9,000 users and over 2,500 reporting users, being integrated with a number of source systems. The support required was for a key system migration project looking specifically at:
• Conducting analysis on the translation of old data to new data attributes to ensure required reporting needs were met for Day 1
• Ensuring the data in scope was Operational Risk data (issues/action plans, risk events/losses, control evaluations, and testing - Sox, etc.)
• Interacting with multiple stakeholders across the PMO / Technology / Business teams
• Review of reporting and strategically analyzing data as part of a large-scale systems migration project.
• Engaging in various data analytic functions across the firm from multiple sources and formats
• Proactive communication of reporting modifications and process changes to contributors based on senior management requests and personal observations.
• Ensuring key trends, issues, and watch items were brought forward into management summaries clearly.

Confidential, Jersey City, New Jersey

Responsibilities:

• Developing BRD’s, Technical Design Document, and UAT plans.
• Supporting the Global Management Reporting System team (GAAP, IFRS 9, BASEL 2 & 3 and statutory).
• Supporting the Prime Brokerage Area, Product Control, and Regulatory Reporting initiatives.
• This required BNP Paribasto project its regulatory capital under stress conditions and demonstrate to the Fed that it met the minimum regulatory capital requirements. These requirements include leverage and risk-based capital requirement. This included Annual quantitative evaluation of prospective capital adequacy under a specified baseline plus two (2) supervisory stress test scenarios, modeled by both the banking organization and the Federal Reserve using its own independent models.

Confidential, Jersey City, New Jersey

Responsibilities:

• Senior Project Manager- supporting the IT PMO responsible for managing the efforts of new multiple work-streams, as well as ensuring that existing projects were completed on time and under budget. Additionally, prepared project status reports for senior management, specifically Mutual Fund Administration, Prime Broker, Wealth Management, Custody, and Capital Markets. Led development of common standards and tools, assisted in operational rollout and support, and translated business requirements into functional specifications for the IT organization. Served as a liaison between the internal/external business community and the IT organization in order to provide technical solutions to meet user needs. Responsible for supporting stakeholders from the Managed Investment, Compliance, Regulatory, Product, Pricing, Technology, Operations, and Finance areas. Implemented a plan in both MS and HP Projects, developed requirements with the subject matter experts, worked. Other responsibilities included:
• Supporting a new DVP Recon Process for the Barclays’ Project, which involved 800 accounts with $10 Billion AUM and contract negotiation management with Advent and FISERV. Also, developed reports utilizing Geneva-Advent software for Barclays’ Asset Management Business. Responsible for test plans and test case management through a JIRA testing process.
• Developing new Client on Boarding workflow initiative for Santander Securities, which included forms, e-Signature (Topaz), and entitlements end to end.
• Creating a new Mobile Check Deposit process for 360 Investment Advisors and IBDs using two vendors, Remit Pro and WAUSAU. Responsible for writing BRD and functional specifications, which included use cases and project estimates and test cases.
• Supporting the International Risk Committee responsible for managing Pershing’s IRC Charter, which protected the reputational credit and operational risk of the firm. I additionally led due diligence reviews of clients conducting international business by utilizing input from Compliance and KYC departments. The reviews were in conjunction with the Pershing Anti-Money Laundering Compliance Manual and the OFAC Compliance Manual, along with the USA PATRIOT Act and other relevant regulations. This was to understand the regulatory, credit risk, and operational risk landscape of our current and prospective international client base, and the implications of conducting business in various international jurisdictions.

Confidential, Jersey City, New Jersey

Responsibilities:

• Senior Portfolio Manager responsible for Global Technology Operations Excellence for $130 million Location Strategy, RTB/CTB initiatives, programs, and projects during the PMO lifecycle. Location Strategy is a global initiative to move headcounts from high cost locations to lower cost locations. The Portfolio Manager acts as the primary point of contact for Program Directors, playing a vital role in the overall reporting of program health and governance by assisting the Program Directors in the development of in-scope business cases, ensuring completeness, quality and alignment to the various internal controls (e.g. HR, Tax, Finance, Strategy, Risk, etc.). Also, responsible for the development of the project schedule and tracking in CA Clarity, project object, risk assessment, statement of work, change control, risk and issues log, requirement traceability, roles and responsibilities, meeting agendas, meeting minutes, action items, BRD, technical design document, user acceptance test plan and lessons learned. Used tools SharePoint, Business Objects, Clarity PPM and Change Management across the enterprise.

Confidential, New York, New York

Senior Project Manager/Business Analyst

Responsibilities:

• IT PMO responsible for the management of an end-state solution for the Global Portal/Content Manager integration project for Confidential ’s Tax Division. The solution provided the ability to upload documents independently of any specific workflow documentation for TAAA, FIN 48, and Other Discrete information. The project was structured and delivered by a prescribed project lifecycle: Plan, Analyze, Design, Build, Test, User Acceptance Testing and Deploy. Also, responsible the stakeholder management plan and implementation of the communication of weekly status reports. Responsible for the development of the BRD for a new Global Tax Portal using Appian for security and IBM Content Manager, which was used to store workflow documentation for TAAA, FIN 48, and Other Discrete information. This project included the reconciliation of $100 billion of structured data going back to 1985 and handled multi-currency transactions. Comprehensive Global Markets Product Knowledge { Confidential / Confidential, Confidential, Agency, Corporate Confidential, Confidential, Tri-Party, Derivatives, ETFs, Equities, etc.}.

Confidential, Jersey City, New Jersey

Senior Project Manager

Responsibilities:

• Supporting the Prime Brokerage area in the development of an Arranged Finance Platform handling US Listed Equity Options, Non-US Options, and Financial Futures (Interest and Option Derivatives) by utilizing Broadridge Business Processing System (BPS). This system was developed to handle foreign exchange trading. Responsible for the development of the BRD, Technical Design Document and UAT plan. Also, responsible for developing reports using Geneva-Advent software. The system allowed for cross-margin options against other arranged client positions and provided enhanced leverage Confidential onshore levels. Used tools SharePoint, Business Objects, Clarity PPM and Change Management across the enterprise.

Confidential, Stamford, Connecticut

Senior Business Analyst

Responsibilities:

• Supporting the Finance Division in the development of a Global Management Reporting System (GAAP, IFRS 9, BASEL 2 & 3 and Statutory) known as Meridian. The project required changing Confidential ’s product pricing from Cost Basis to Fair Market Value, which covered IFRS 9 and FAS 157 Pricing for Derivatives Products (Interest Rate Swaps and Credit Default) and Dodd-Frank FDIC regulations. The system was built around an SAP General Ledger that supported all downstream areas of the firm, including Treasury, Compliance, Regulatory, and Management Reporting. Also, supported the London Products’ Control area in developing trade break PNL reports for off balance sheet trades utilizing the Business Object’s tool for data mining. Responsible for managing the outsourcing of business analyst testing with WIPRO by utilizing JIRA into the testing process, thereby automating the execution of unit and functional tests with the BamBoo application. This provided available results within every issue in JIRA, so the team had full traceability. Used tools SharePoint, Business Objects, Clarity PPM and Change Management across the enterprise.

Confidential, New York, New York

Responsibilities:

• Senior Project Manager - supporting the IT PMO/ Business Analyst responsible for writing the BRD and Functional Specifictions for the retirement of the old legacy Citibank Trading System, Economic Trading P&L System, and the Trade Management System for all futures and options on futures’ products onto Confidential ’s Confidential Platform, which handled foreign exchange and derivatives. The project’s objectives were to produce all accounting entries from one source of financial information to the Oracle GL, provide downstream systems with financial data, and streamline the process by eliminating and automating reconciliations. Supported the Middle Office and Product Control areas in moving the CME OTC derivative products, such as Credit Default Swaps and Interest Rate Swaps, onto Citi’s Confidential System. Also, developed the business plans for s on the BM&F BOVESPA in Brazil for trading futures, the NODAL Exchange, and the New York Portfolio Clearing Exchange.

Confidential, New York, New York

Vice President, Financial Operations Project Manager - Global PMO

Responsibilities:

• Directed teams in Mexico, Chile and Brazil for the selection and development of a new multi-currency and multi-lingual Policy Administration System (AdminSever) and Major Medical System (TriZetto) that involved a budget in excess of $80 million. The system required the development of a Group Life, Individual Life, Property & Casualty and Major Medical insurance operation platform to support MetLife’s global business. Responsible for contract negotiations, statements of work and service level agreements with application service.
• Managed the Financial Framework Initiative for the International Operations, which covered six projects:
• Led Due Diligence team and Integration team for Mergers and Acquisitions in Latin America. Supported the Business Development Group and bankers by working with the regional teams on targeting and evaluating deals. This resulted in the development of business cases and contract negotiations on three proposals.
• Supported the Compliance and KYC departments, conduct due diligence reviews of clients that conduct international business. The review is in conjunction with the Pershing Anti-Money Laundering Compliance Manual and the OFAC Compliance Manual as well as the USA PATRIOT Act and other relevant regulations.

Confidential, New York, New York

Vice President, Controller Operations/Systems

Responsibilities:

• Directed US Clearing’s client enhancements for high net worth customers and correspondents. Led the design and implementation of a strategic project to integrate the delivery of banking and brokerage products and services to the business’s investment-customer segment, resulting in a more competitive and profitable product line for the firm. Responsible for a $200 million budget, managing the firm’s relationships with outside clearing firms: DTCC, Euroclear, Bank of New York and Chase.
• Implemented the Risk Assessment Management System for compliance with Sarbanes-Oxley (Sarbox) SEC Rule 404 for reporting on the soundness of internal controls and procedures for the reliability of financial reporting. This covered AML and OFAC reviews of KYC, which were required under the Patriot Act.
• Managed the Securities Transfer/Retirement (ACATS and Non-ACATS) Departments with 31 associates during a year of high transactional and account movements, which included setting up accounts to handle ACH and SWIFT.
• Successfully implemented a $15 million Mutual Fund Tax Lot Accounting/Cost Basis Reporting System using Advent Geneva software for high net worth correspondents. The system was delivered on time and under budget to 200,000 Quick and Reilly high net worth customers. Also, responsible for the BRD, RFI, RFP and contract negotiations with Advent.

Confidential, New York, New York

Vice President, Financial Management Reporting Systems and Data Management

Responsibilities:

• Managed the Asset Management Financial and Accounting Systems Group. The group supported both the Retail and Institutional business units and managed over $400 billion in AUM. Provided systems support for the combined expense information taken from 500 cost centers located in 25 geographic locations from Salomon, Smith Barney and Citibank general ledger systems, enabling the integrated reporting of results across SSB Confidential Asset Management business. Responsible for developing test plans SIT, UAT, and test scenarios for 175 different product types and approx. 500,000 test scripts. Created and managed a central repository to house, by account, $400 billion of assets under management for SSB Citi. Database combined key account information across three companies for performance and revenue information.

Confidential, New York, New York

Director, Senior Project Manager

Responsibilities:

• Managed a $30 million Mutual Fund Cost Basis/Tax Lot Accounting and Performance Measurement System while using client/server technology. With the support of the third-party vendor, Eagle Development Group, the system was successfully completed on time and under budget. This was a two-year project that replaced an old legacy system known as Jamaica, which could handle 3 million customer accounts and process a comprehensive

Confidential, New York, New York

Vice President, Controller Operations Division

Responsibilities:

• Established the Confidential Global Futures System’s ( Confidential System owned by Confidential Development) business plan and its funding commitment and control document. The system is an on-line, real-time, multi-currency and entity trading and processing system, today becoming the standard system used by the industry. This included writing all the business rules and requirements. I worked with senior management on the re-engineering of the division by implementing a new Confidential Future Platform. The Confidential System is a vendor supported system which has been customized to function within Merrill's complex management reporting systems (covering operations, financial and regulatory needs).
• Created a new Controller’s Department for Merrill’s Global Futures Trading Division, which performed customary management reporting functions and preparation of the mid-year forecast and annual operating budgets. Responsible for managing $300 million in revenues and $200 million in expenses. Generated an updated monthly cost-distribution charge-out system for business units by product.