SUMMARY:

• Excellent written and verbal skills
• Strong analytical abilities
• Business and Data Analysis
• Compliance, RIsk and AML technologies
• Regulatory Reporting
• Experienced technologist and data modeler
• Accomplished software developer
• Strong knowledge of Investment Products
• Adaptable and flexible in multi - tasked, fast paced environments
• Proven leadership and organizational skills
• Project Management and PMO skills
• Member of LinkedIn’s Most Recommended Group

TECHNICAL SKILLS:

Software: Confidential, Mantas, Oracle, Sybase, PL/SQL, Perl, Visual Basic/VBA, Microsoft Access, MS Office and Office Automation, Crystal Reports, ERWin, Microsoft Project and Visio.

Management: Project and Portfolio Management, extensive experience dealing with C-Level Executives, Risk Management/Mitigation, Business Process Re-engineering, Recruiting and Product Development.

Functional Areas: Compliance, AML, KYC, Trade and Market Surveillance, Fraud, Trading Systems, Market Data, Capital Markets, Project Management, Business Analysis, Data Analysis, Treasury, Regulatory Reporting (CCAR/DFAST/Blue Sheets/OATS/TRACE), Technical Audit, ETL, data modeling and warehousing.

PROFESSIONAL EXPERIENCE:

Confidential, New York NY

President

Responsibilities:

• Founded my own firm specializing in providing solutions in the trading, AML and market surveillance space.

Confidential

Business/Data Analys

Responsibilities:

• As part of the Data Quality Group, performed profiling on data coverage for the Confidential and in-house Compliance models.
• Performed a data audit and prepared a gap analysis on Deutsche Bank’s legacy trading systems in preparation of an Confidential implementation
• Coded several customized reports for use by the Compliance Department.

Technical Auditor

Confidential

Responsibilities:

• Completed Java code reviews, full data audits and reconciliations of the CCAR, DFAST, FRY-9C and FRY-14A applications.Served as the primary technical resource for code reviews, output re-performance and functional suitability for all audits performed by Corporate Internal Audit.

Business Analyst/Data Analyst

Confidential

Responsibilities:

• Performed a data audit and wrote ETL for the installation of two Mantas surveillance models for the Energy Trading Desk. Both were installed on time and on budget.
• Wrote Perl scripts to perform automated data validations and performed a data mapping of the source system that fed the Futures Data Warehouse.

Business Analyst/Project Manager

Confidential

Responsibilities:

• Served as project manager and headed selection process charged with choosing a Compliance solution to monitor trading activities.
• Ran the QA Team for the in-house Electronic Blue Sheets System.
• Led a six-person team that performed a conversion of four Confidential models in the Confidential Compliance Platform from Confidential to FircoSoft.

Business Analyst/Data Analyst

Confidential

Responsibilities:

• Successfully completed a full system data mapping and installed two Confidential Trade Surveillance models in a six-month period
• Completed a full Confidential AML implementation on time and under budget.

System Analyst

Confidential

Responsibilities:

• Wrote an application for Compliance for monitoring the marking of Short Sale tickets that used Java and Perl with Mantas and Security Master Data to produce output.
• Used Perl scripts and Visual Basic for Applications to automate a formerly-manual daily trading activity report that was e-mailed to Senior Management.

Data/Systems Analyst

Confidential

Responsibilities:

• Completed all client projects while successfully meeting all budgetary and time constraints.
• Have performed multiple assignments by four different clients.

Confidential, New York NY

Project Manager

Responsibilities:

• Worked with the Confidential Development Team in creating the Anti-Money Laundering and “Know Your Customer” products.
• Successfully ran three end-to-end on-time Confidential implementations.

Confidential, San Jose, CA

Principal Consultant, Premium Support

Responsibilities:

• Had the highest customer satisfaction rating amongst all Principal Consultants.

Confidential, NY

Vice President, Data Services

Responsibilities:

• StreetLine, a member of the Confidential Group, was an online equity trading system that allowed small- to medium-sized European Banks to offer international equity trading to their clientele.
• Managed a group of 6 developers, sys admins and DBA's. Responsible for maintenance of our data center, the Oracle database and all of the customized code written to support the business.
• Hired a staff of IT professionals, purchased hardware and software, wrote departmental policy and procedure manuals and managed a $1.5MM annual departmental budget.
• As part of the Management Team, developed company policies, created new products for the sales staff and set business direction, goals and targets.
• Had extensive client contact with C-Level Executives on both a pre- and post-sales basis.
• Responsible for the hiring and of members of the Data Services Group, prepared staff reviews, made raise and promotion recommendation and performed actual vs. projected budget reporting.
• Created an Internet online trading system start-up company from the ground up.

Confidential, New York, NY

Sr. Consultant

Responsibilities:

• Both of my projects came in on time, on budget and generated considerable add-on work.