SUMMARY:

• Senior professional with fifteen plus years’ leadership experience in trading operations management, financial regulatory compliance and information technology supporting large trading organizations within financial services and energy/commodities industries.
• Strong working knowledge of exchange - traded and OTC derivatives markets ( Futures, Forwards, Options and Swaps). Broad knowledge of multiple asset classes including equities, fixed income, currencies and commodities. Basic quantitative knowledge of derivatives valuation and sensitivity measures such as the “Greeks” .
• Certified Energy Risk Professional through Global Association of Risk Professionals. Currently studying for Financial Risk Manager (FRM) Exam Part I

PROFESSIONAL EXPERIENCE:

Confidential, North Carolina

Senior Business Analyst

Responsibilities:

• Lead Business Analyst for Bank of Confidential ( Confidential ) trade reporting. Create, implement and validate transactional and lifecycle regulatory reporting events for FX & OTC Derivatives. Establish business processes and controls to ensure reporting is accurate, complete and timely.
• Collaborate with FO source systems, trade reporting system and downstream Swap Data Repository adapter (SDRA) teams to ensure all requirements have been captured and development items have been prioritized.
• ESMA RTS 2.0 Collateral and Valuation reporting: Collaborate with various stakeholder organizations (Front Office, PMO, global teams) to understand reporting guidelines for collateral and valuation reporting.
• Map trade data elements from source systems all the way to trade repositories such as Unavista and DTCC. This includes translating source system XML field tags to reporting system mappings as well as external reporting requirements such as FpML for DTCC and CSV for Unavista.

Confidential, Jersey City, NJ

Business Analyst

Responsibilities:

• As Lead Business Analyst, successfully on-boarded MiFID II Commodities product and trade types for reporting to APA/ARM.
• Implemented business rules and event mappings for Post Trade Transparency (PTT) and Transaction Reporting (TR) requirements. Work with external MiFID reporting service vendors such as Tradeweb and UnaVista to reconcile data reporting gaps. Familiar with Financial Information eXchange Protocol (FIX) messaging standard.
• As Project Lead, successfully migrated Commodities Precious Metals (CPM) trade reporting from ICE Trade Vault to DTCC. This included mapping CPM trade types to central reporting engine, submitting proper message types (PET, RT, SP, etc.) to DTCC and investigating negative acknowledgments (NACKs).
• Understand mapping requirements and reconcile XML schemas to understand gaps between trading source systems, internal reporting engines and external trade repositories. Exposure to FpML (XML) including analysis of outgoing and incoming messages to/from DTCC for all message types including Real Time (RT), Primary Economic Terms (PET) and Snapshot (SP).
• Part of Agile team utilizing Scrum methodologies including Sprint planning, daily Scrum (stand up) and Sprint retrospective.

Confidential, New York City

Vice President - Regulatory Reporting

Responsibilities:

• Responsible for generating, adjusting, validating and submitting multiple financial and regulatory reports for Federal Reserve Bank, U.S. Department of the Treasury, Bureau of Economic Analysis and internal Head Office reporting requirements.
• On a weekly basis, generate position, P&L and fair market value reports from various front office trading systems (Pyramid-Sphinx, Sophis, Wall Street Systems) and reconcile derivatives transactions to the Data Warehouse database (via Business Objects). After reconciliation, submit aggregated report to Federal Reserve Bank via Reporting Central website.

Confidential, Houston, TX

Senior Associate - Regulatory Reporting & Compliance

Responsibilities:

• Prepare and validate weekly Trader Timeliness report (an aggregation of FX and commodities trades) that have been submitted to the SDR and identified as late trades based on Behavioral (trader-related) or Non-Behavioral (technology-related) attributes. Provide commentary and analysis to senior management and other stakeholders (Compliance/Legal, Trading, IT) to assist in monitoring trader behavior and/or technology issues.
• Review, validate and approve forward curve implementation requests from front office trading and risk control groups for both non-reportable volatility and reportable LTR curves. Update regulatory reporting fields in curve request documents and submit documentation to IT as part of the archiving and approval process. Map tables in front office trading systems related to regulatory data as well as relevant fields in DTCC system as necessary.
• Middle office project lead for UAT phase of execution timestamp testing. Identified issues in Open Link Endur system, such as incorrect trade execution timestamp, and provided solutions based on trading and compliance best practices.

Confidential, Houston, TX

Product Control Analyst - Global Operations & Regulatory Reporting

Responsibilities:

• Primarily responsible for proactively understanding, applying, and monitoring Title VII of Dodd-Frank Act applicable to derivatives regulations in order to mitigate regulatory non-compliance risk.
• Responsible for performing trade surveillance tasks including daily monitoring of gas and power deals in order to validate traders have properly executed transactions that are Dodd-Frank reportable.
• Monitor ODS portal, which is the interface between various ETRM systems and ICE Swap Data Repository (SDR), to ensure any Dodd-Frank reportable suspended trades are handled in a timely and efficient manner. Run and validate several reports that are submitted to the CFTC: Large Trader Reporting (LTR), FX Swaps report, Commodity Trade Options (structured physical deals with volumetric optionality) and 102S new counterparty reporting.

Confidential, Houston, TX

Regulatory Compliance Business Analyst

Responsibilities:

• Lead high level process and systems implementation plans for European Market Infrastructure Regulation (EMIR) and Dodd-Frank regulatory reporting and compliance.
• Monitor rules and assess the applicability to new transactions related to European regulations, including EMIR, MiFID and European trading platforms such as Trayport. Understand political and regulatory environment in the derivatives trading compliance space.
• Coordinate and conduct testing of code logic that determines reporting eligibility for EMIR and Dodd-Frank. This includes assessing whether trades are reportable to both, either or none of the regulatory regimes. This also includes assessing who generates USI/UTI and how trades are being matched in ICE eConfirm.
• Manage ICE Europe Trade Vault data mapping requirements based on EMIR trade data requirements. Build test plans to ensure data flows between various external (ICE trade vault, eConfirm) and internal ETRM (Endur energy, Expeed exotic trades) systems meet reporting requirements as per EMIR and Dodd-Frank.

Confidential, Houston, TX

Senior Manager

Responsibilities:

• Manage daily and monthly energy price forward curve production processes ensuring all process standards are adhered to and documented. Collaborate with quantitative and technology groups to ensure robust and timely publication of forward curves.
• Assist in the evaluation and definition of forward and mark-to-market curve opportunities in the global oil market. Support sales teams on business development activities as required including generating monthly sales data. Travel internationally (India, Singapore) to meet with customers and team members to help grow the global oil risk business.
• Responsible for business assessment of eWindow trading platform, a Swap Execution Facility (SEF). Provide monthly report detailing trade data metrics such as customer position, product, market maker, open interest and commissions/fees revenue.