SUMMARY

• Comprehensive retail and institutional brokerage experience in tax lot accounting and tax reporting, Cost Basis 1099B IRS Regulatory Legislation, Tax Documents, Accounting, Risk and Control, Reconciliations, Project Management
• Over 5 years in software testing, defect reporting, requirement understanding, production releases and 19 years fin - tech related, leadership and supervisory experience
• SME: ISTQB Software Testing, Front-end, UI/UX Design, QA, Staging and UAT environment, Test Planning, Test Execution, for both Regression and Production Release
• Languages: English and Spanish
• Collaborates with cross functional teams, solutions and results oriented
• Accountable, Organized, Strategic Planner
• Problem solver, strong understanding of web designing coding and metrics reporting, poised under pressure and escalation
• Leadership, Mentoring, Coaches, enforces Training and Implements Procedures

TECHNICAL SKILLS

Core Competencies: Client Service, quality assurance, project management, motivating, training, team building, organization and performance metrics

Software/Applications: Office Suite, Basic SQL Database, JIRA, Confluence, Confidential Enterprise, Asana, Figma, Unix Script, Selenium, Eclipse, Mobaterm, Saucelab, HP Quality Center, Maxit Cost Basis Engine, Slack, TFM, GAOS, Broadridge TMS, BPS and ADP, Broadridge Taxonomy, Broadridge PostEdge, Broadridge CRM Tool, APL (formerly Fiserve), Aspire, Memphis, TAPS, Silver PAS Cost Basis Engine, SalesForce, CCH, SharePoint, PeopleSoft, Consultworks, DTCC, Product Reference Data, SOX and Bloomberg

PROFESSIONAL EXPERIENCE

Confidential

QA Front-End Manual Software Tester

Responsibilities:

• Liaison between the Product Team and Developer team for building a well-defined product roadmap, solve problems and fix bugs
• Reproduce, Branch, Exploratory, Functional, Non-Functional, White Box, Black Box, Regression, Manual, and Smoke Testing
• Assisted developers on deployments within UI Front-end, Staging, QA environments and Production releases
• Created critical path test cases and different scenarios, and run the test to identify software problems
• Analyzed bugs and errors found during tests and provided defect tracking progress
• Documented the results of tests for the product & engineering teams. that proved the quality of an issue(s) under review.
• This documentation included, but was not limited to, requirements, guidelines, testing plans, testing strategies, testing scope estimates, test cases and defect tracking
• Recommended improvements and hot fixes in software to enhance user experience
• Motivated the development process for efficiency and performance
• Worked together with the Design team and validated that Front-End, UI/UX matched the requirements and worked as expected
• Maintained and updated knowledge of industry trends and advancements
• Monitored and reviewed release trends and remediation plans
• Testing devices included but not limited to Web, Admin, IOS iPhone mobile, IOS iPad, and Android mobile

Confidential

QA Software Tester Associate

Responsibilities:

• Endeavored and strived testing efforts of the Maxit Cost Basis application for IRS 1099 financial regulatory reporting
• Reproduce, Branch, Exploratory, Functional, Non-Functional, White Box, Black Box, Regression, Manual and Smoke Testing
• Assisted developers on deployments within UI Front-end, SIT, QA, UAT and BAUT environments and Production releases
• SQL query basic knowledge, Selenium basic knowledge, Saucelab basic knowledge and validating automated results
• Developed testing processes and plans using JIRA to improve efficiency and provide transparent testing results and defect re-testing
• Created critical path test cases, test cases scenarios, validated test results, and provided metrics in Confidential Enterprise Dashboard for testing completion percentages and defect tracking progress
• Delivered objective analysis of error trends and opportunities to identify root cause analysis and defect traceability
• Coordinated with Project Managers (PM), Business Analysts (BA), Automation and Developer teams to ensure projects and product structures were delivered on time and as free of defects as possible to effectively test projects/issues
• Provided inputs for manager’s documentation that proved the quality of an issue(s) under review.
• This documentation included, but was not limited to, requirements, guidelines, testing plans, testing strategies, testing scope estimates, test cases and defect tracking
• Built a deep understanding of the products that require scrutiny for quality assurance and project manuals in Confluence
• Assisted testing departments, both on-site and offshore for major projects end-to-end
• Defined and delivered recommendations and solutions that addressed each process and technology component to ensure accurate Cost Basis 1099 data for our clients correct year-end statement reporting

Confidential

Senior Regulatory Legislation Analyst

Responsibilities:

• Verified the accuracy and reconciliation of Cost Basis Reporting for institutional and individual clients by adjusting tax lots
• Reviewed, updated and reconciled daily system breaks through research and data analysis
• Updated client portfolios by monitoring cost basis tax lots, gains/losses, and corporate action events
• Created manual procedure guide of Corporate Actions events for correct Tax Reporting and Cost Basis portfolio statements
• Interfaced frequently with IT, created specifications, test scripts, tracked test results, identified defects
• Reconciled and corrected discrepancies upon comparison of the client’s 1099-B vs. Cost Basis portfolio for year-end and reported accounts for correction runs of Form 1099-B
• Responsible for project management initiatives of client requests, existing issues, business requirements, design specifications, enhancements and other UAT priorities
• Assisted in building a quality assurance protocol for ETCS Reconciliation for the Operations team

Confidential

Sr. Associate

Responsibilities:

• Performed different levels of data analysis & reconciliation of Barclays data and Aspire Cost Basis System
• Partook in the implementation of procedures, controls, and self-audit to coordinate 1099-B form with the Tax Operations team
• Responded to compound client inquiries daily (CRM) raised by branches, contra-firms, and Tax Reporting teams by answering queries, resolving issues and complex cases as well as correcting Cost Basis tax lots, form 1099-B and tax reporting system errors
• Resolved Barclays vs. Aspire reconciliation exceptions/discrepancies and documented the resolution process
• Validated that data integrity was maintained in client facing displays and Front-end
• Provided Operational support to document business and functional requirements for necessary programs, enhancements, modifications, and/or re-writes to existing products
• Developed business requirements, project scopes, specification standards, UAT plans, tests for Statement Support and tracked defects via Mercury Quality Center

Confidential

Sr. Associate Portfolio Management

Responsibilities:

• Oversaw client inquiries, reviewed and resolved daily breaks as well as responsible for manually adjusting Cost Basis tax lots
• Calculated, updated, and maintained client’s portfolio in compliance with Regulatory Legislation standards by monitoring Cost Basis tax lots for gains/losses when discrepancies in the accounts arose on stock splits, spin-offs, and taxable/non-taxable exchanges
• Researched and updated Corporate Action events in the UBS system using CCH and processed the events accordingly
• Created manual procedure guides for operational processes and coordinated training for new and existing employees
• Consistently analyzed variance reports for securities pricing changes on a day-to-day basis to avoid out of balance portfolios
• Coordinated with outside auditors to ensure securities pricing were correct on client’s portfolio as per SOX regulations