OBJECTIVE:

• Leverage Capital Markets, Prime Brokerage, International Investment Banking, Wealth, Risk & Strategy skills to add value

SUMMARY:

• 14 years Banking & Capital Markets experience with Front Office, Product Development & Risk of leading international Investment Banks, Prime Brokerages, Wealth Managers, Private Banks, Clearinghouses, SEFs, Exchanges & Buy - side
• Built C level relationships, took initiative, presented cross-business solutions, created value & ensured client comfort
• Interfaced with external / internal clients-Banks, Corporates, Government Regulators, Exchanges & Private Equity
• Diverse Financial Solutions experience in M&A, DCM, Investment Funds, Trading, Syndication, Project Finance/ Advisory, Strategic Alliances, ECA, Trade Finance, Market Research, Risk Management, Capital Adequacy & Business Strategy
• Cross-Industry Exposure: Oil-Gas, Renewables Energy, Pharma, Chemical, Infrastructure, Airport, Port, Industrials, Food, Media, Shipping, FMCG-Retail, Aircraft, Real Estate, FI, Telecom, Technology, Logistics,, Tire, Auto, Leasing
• Products: ET-OTC Derivatives, Fixed Income, Futures, MBS-TBA, Equities, Margin Loans, LoC, FX, Repo, Custody, MM, Options, Rate Swap, Mortgages, Commodities, Sec Lending, Cards, CFD, Bond, Cash, ARS, Funds, CDS, LBO
• Risk-Regulations: Dodd-Frank, Volcker, Clearing-Settlement, PnL Attribution, Collateral, Lending Value, Basel II-III, Stress VaR, AML, GLB, Greek, Trace, CVA, LGD, Liquidity, Volatility, Reg T/U/W/9, KYC, Treasury, Portfolio Margin
• A fast learner & an experienced team player with good communication, analytical, presentation & organizational skills. Series 7 Licensed Securities Rep & CFA candidate. Worked on OMO, SPAN, Misys, Harmony & Utopia products
• Trade Process: Post-Trade Matching, Allocation, Netting, Aggregation, STP, Affirm-Confirm, Order Mgmt., PB Billing

PROFESSIONAL EXPERIENCE:

Confidential

FVP, Capital Markets & Financial Solutions

Responsibilities:

• Lead Cross-Product Coverage for M&A Advisory, Debt Capital Market, Derivative, Investment Fund & Structured Finance. Identified opportunities, designed financial solutions, executed marketing strategy, analyzed credit & launch new products
• Monitored news & macro/ micro developments, analyzed financial markets, identified investments & diversified fee income
• Originated & executed $140M Auto Component Cross-Border Japan M&A. Defined Business Alliance roadmap, identified business synergy, conducted due-diligence & drafted deal structure. Pitched & won $700M Industrial Valve M&A mandate
• Launched new products & executed $170M market strategy-Yen Bond, FX Option, Solar PF, Leasing. Presented business case, analyzed competition, enabled operating model & regulator approval, increased visibility, led project & mitigated risk
• Arranged Exim Bank’s $50M Sovereign Samurai Bond. Marketed DCM proposals-Euro-Yen, Pro-Bond, Masala & Uridashi MTN, facilitated Investor Roadshows, increased distribution, negotiated pricing & steered JBIC-IFC credit enhancement
• Developing Pricing & Risk models for Oil Commodity Derivatives & negotiated $220M Cross-Border Rail Syndication. Studied market & regulation for Auto Securitization, Bond Investment, Property Finance, Lease, Swap Novation & Custody
• Structured Acquisition Finance for $140M Japan Auto LBO & $330M Power Asset Restructuring Workout. Enabled M&A closure, negotiated Guarantee & released bank collateral. Facilitated $78M LNG Ship credit analysis & ECA Re-insurance
• Advised & arranged $430M Exim funding for Latam Natural Gas & Asian Power projects. Coordinated ECA Insurance new product Reg approval, analyzed project viability, created Info Memo/Model, structured transaction & increased Bankability
• Advised international clients (FI/PE/Corporate), devised & executed solutions, cross-sold $390M Rates-FX Swaps, Trade, Cash & diversified product range. Conducted due diligence on Equity & Green Debt Funds investment
• Analyzed Industry gaps & Market Feasibility, advised on Entry Strategy, developed business models, matched Japanese partners, held Roadshows & enabled Cross-Border Strategic Alliances in, Diaper, Logistics, Leasing & Media
• Analyzed Solar & Oil markets, identified Project Finance/Advisory opportunity, developed strategy & presented Termsheet
• Educated Front Office on Volcker & Basel III requirements, & ensured Volcker Compliance on US Derivative transactions

Confidential, NY

Director, Financial Markets

Responsibilities:

• Advised Buy-side clients & drove SEF-Central Counterparty Clearing strategy for Rates Swap & CDS. Negotiated pricing, enabled Operating Model & interfaced with Tullet, Javelin & FXAll to execute LCH & CME trade workflows
• Aligned Front Office Business & Derivatives Strategies. Modeled Iosco Margin & Credit-Market Risk, presented Clearing, SEF & Volcker Business Cases to Sales Head, analyzed gaps, defined Business Models & launched new products
• Managed & delivered Americas OTC Derivatives Reg Reform-Dodd Frank, Clearing, SEF & Volcker. Led Front-Office Coo Product team of 2, launched new programs, executed client communications plan & chaired CEO Derivatives Committee
• Achieved Volcker Conformance. Advised clients on Volcker operational impact, analyzed Principal Investments, Trading Books & Hedging Strategy, drove Desk mitigation plans & executed Metrics - VaR, PnL Attribution & CFTR
• Analyzed Regulatory, Tax, Ops, Infra requirements to form New Co to house US Volcker activity. Presented options to GM
• Managed DF Title VII program for Sales- Business Conduct, Client Classification, Commodities Large Trader & Reporting

Confidential, NY

Business Product Manager

Responsibilities:

• Managed & improved PnL Attribution for $3B EM E-Trade, EM, CDS, Bonds & CAD Rates Trading Desks. Analyzed & reconciled EoD Risk - PnL, ran & closed Books, & prepared daily T0/T1 reports with Market Commentary
• Drove launch of Columbia Sovereign CDS & $200M BRL Bond offerings. Drafted Business Case & Roadmap, coordinated New Product Approvals, addressed Regulatory queries & led Ops Infrastructure setup. Reduced Sovereign Credit-FX Risk
• Enhanced RMBS Credit Hedge with Prepay model to correct $24M VaR shortfall. Improved Greeks accuracy-Payup, Vega Cs01, Dv01, Basis, theta, OAS, LGD & default curve for CDS, Bond, MBS. Analyzed CDS-VIX Hedging strategy & liquidity
• Built Intra-Day Pricing-Risk model, setup Pricing Dictionaries in Risk Engine & enabled Trading of $4M IR Swaps
• Re-engineered Business Processes, enabled Operating Model & mitigated Op Risk for CDS, MBS, IRS & FX Risk-PnL Attribution, Collateral, Repo & MBS VaR. Enhanced Credit Trading & Market Risk policies with EM specifics
• Led CTB transformation, aligned Trade & Risk strategy, optimized trade processing, mitigated credit risk & met Regulation
• Presented Basel II-III, Volcker, Dodd-Frank ICE Credit Clearing CDS Pricing Penalty, IR Charge & Trace to Desk

Confidential, NY

Product Relationship Manager

Responsibilities:

• Led & improved $2.6M Morgan Stanley & BoA-ML FX PB relationships. Marketed Post-Trade & Risk products, supported Sales & Prod Marketing, turned around difficult clients, managed PnL, prepared proposals & closed $560K new business
• Analyzed competitive SWOT, designed solutions, enhanced Product Roadmap & positioned new FX-Futures Risk/Trade offerings - VaR, CFD, Portfolio Margin, Exposure Limit Stress Scenarios, Ratings, CVA, Trade Matching & Basel II
• Drove Strategic Alliance with CME on Cross-Asset FX-Futures SPAN Margin & increased Risk Hedging flexibility
• Designed Bond Greek models & launched Pre-Trade Fixed Income Stress product to mitigate $104M UST Risk
• Advised banks & wrote whitepapers on Risk trends, Post-Trade operational best practices, Economic Capital, Dodd-Frank
• Enhanced Risk Framework with Market Risk aspects. Analyzed $2.2M FX portfolio & resolved Trade Breaks
• Managed business team (6) & enabled FX PB Post-Trade & Risk strategy- CLS Aggregation, Affirm-Confirm, NDF Order Mgmt & Billing. Settlement Fee reduced 89%, mitigated Op Risk & optimized FX Pnl flow. Chaired Coo steering committee

Confidential, NY

Associate Director

Responsibilities:

• Led M&A Integration Strategy for $2.8B Piper Jaffray, McDonald & Banco Pactual acquisitions. Conducted Due Diligence, Pre-Merger Collateral Review, Process Assessment & Post-Merger Credit Impact Analysis. Reported status to CRO/CCO
• Managed RTB Risk team of 2 to monitor Risk Limit Breaches & issue Collateral Margin Calls for $4M Options Book
• Proposed Fixed Income Framework for HNW clients, drove launch of $200M ARS offering & increased CDS/IR Swap Book by $4.7M. Drafted Business Case, managed New Product Approval & led Strategy Execution
• Launched Credit Risk Framework & executed largest US Loan-Derivatives Risk program. Standardized Risk Control for $18B Loan-Derivatives Portfolio of Futures, FX, Equities, Options, Repo, LoC, Bonds, Loans, Mortgage & MBS/TBA
• Designed CBOE Risk analytics model, launched Margin platform & reduced Option Risk by 23%. Enhanced OTC-ET FX & Metal Options, Forwards & Commodities Pricing & Risk exposure models. Increased Risk accuracy by $1.3M
• Analyzed $22M Muni Market Risk portfolio & enhanced Credit Scenario models. UST hedging reduced VaR by 37%
• Confidential Basel II Program & reduced Capital Charge by $500M. Analyzed & reported Confidential risk data
• Led Fed-State SEC-NJ Regulator relationship, presented Risk Reports-Model for Fed Audit & resolved queries

Confidential, NY

Relationship Manager

Responsibilities:

• Led $3.5M Wealth Brokerage, Private Bank & Treasury relationships. Grew “C” level clients & exceeded $3M target. Cold called, positioned & marketed product offerings, defined client requirement, priced & closed financial deals
• Drove Alliance with vendor-iSprint & presented combined Growth & Pricing Strategy. Successfully executed pilot

Confidential, IL

Project Coordinator / Business Analyst

Responsibilities:

• Built new client relationship, presented offerings & created solution & pricing proposals. Grew relationship by $530K
• Defined business requirement & coordinated offshore execution of Transportation Logistics & Siebel Sales platforms

Confidential

Business Analyst

Responsibilities:

• Designed business case models for e-Webshop & J&J “Order Processing” vendor-supplier strategy