SUMMARY:

• Senior professional in Confidential with management experience in Financial Planning and analysis, investment management, fixed income analysis, valuation, internal and operations controls, asset/liability management and financial reporting/accounting.
• He has developed fixed income and derivative strategies, executed as trader under those strategies and initiatives, and advised executive management on risk identification and analysis of effective risk responses and proactive risk transfer/resolution.
• These services have been provided to regional and community banks, insurance companies, and Confidential banks via auditing and/or contract consulting engagements and direct employment.

MICROSOFT OFFICE AND SYSTEM SKILLS:

• Excel & Excel VBA
• Power Point
• Access
• Outlook and Word
• Bloomberg

AREAS OF EXPERTISE AND EXPERIENCE:

• Financial Statement Analysis and General Financial Analysis
• Fixed Income Trading
• Illiquid Security and Loan Analysis & Valuation
• Bank & Insurance Portfolio Management
• Analysis of Distressed Situations & Derivatives
• Asset/Liability Analysis and Treasury Management
• Financial Instrument Accounting (Book & Fair Value)

PROFESSIONAL EXPERIENCE:

Confidential

Responsibilities:

• Conducted Confidential and Confidential Interest Rate Risk model validation projects for Johnson Bank, Racine, WS
• Prepared existing state Confidential documentation for Confidential, Chicago, IL
• Validation workbooks and reports were prepared for both clients, with improvement opportunities identified.

Confidential

Financial Planning and Analyst, Chicago, IL

Responsibilities:

• Responsible for pricing and valuation of Confidential ’s $40 billion investment portfolio containing approximately 5,500 fixed income securities in multiple sectors, including investment grade corporates, munis, mortgage and asset backed securities, Treasuries and other governments, and high yield, including the following detailed processes
• Financial Planning, price statistics analysis, and trade distribution reporting and analysis
• Pricing system reports, Confidential designation assignment, and FAS Price Level assignment
• SOX reports, SOX control review, valuation variance analysis and explanation, price challenges, and price verification, monthly and annual price operations audit control reports
• Price modeling and valuation model development for internally priced securities, yield spread widening/tightening analysis, credit default swap trend and comparison analysis
• Loews trader reports monthly and Confidential is subsidiary of Loews)
• Ongoing global department interfaces were conducted with investment accounting, corporate accounting, internal audit, operations, and Loews traders. External interfaces included pricing vendors (IDC, Markit, Bloomberg, and Reuters), and as well as Deloitte and the Confidential .
• Partnered with executive management by providing valuation and analysis of impaired and mispriced fixed income investments, including obligations of Puerto Rico, Better Place, Lighting Science, Vas Aero, Relativity Media and other high yield assets (total pre - tax impairments of at least $70 million)
• Financial Planning and valuation model development for Confidential Servicing Rights ( Confidential ) and for Trading Account private placement CMOs (collateralized Confidential obligations)
• Chicago Mercantile Exchange ( Confidential ): internal audit of Confidential backup credit line
• Financial Planning model development for renewable energy projects (wind & solar)
• Financial Planning model development for Confidential production projects for Confidential ( Confidential is the primary component of the polyester production chain)
• Hedge Fund accounting for Confidential fund administration clients, including investment accounting for all positions held by assigned funds.

Confidential

Analyst, Reporting and Accounting, Chicago, IL

Responsibilities:

• Responsible for Confidential financial reporting for Confidential ’s non-agency Confidential -backed residuals held by Confidential ’s hedge fund, and for the hedge fund management company, and for Confidential ’s futures brokerage subsidiary, including investment accounting for all positions held by the fund.
• Financial reporting included Confidential financial statement preparation including monthly balance sheet, income and cash flow statements, and annual audit management/contact with Confidential
• Hedge fund reporting also included monthly Confidential calculations, partner share reporting, and management fee computation
• Daily monitoring included handling accounting issues and Confidential futures tracking for the hedge fund
• Prepared Confidential ’s acquisition analysis and valuation of a Confidential floor trader/futures clearing broker. Also prepared the purchase price allocation and goodwill premium on Confidential ’s books for the acquired futures broker

Confidential, Melrose Park, IL

Responsibilities:

• Assisted CEO in monthly financial plan review, and fair value analysis of financial instruments (loans, securities, hedges)
• Responsible for management and trading of a derivatives portfolio containing Treasury futures, interest rate swaps, basket credit default swaps, and Confidential options, and a $1 billion Confidential -backed securities portfolio. Also contributed to valuation and analysis of Confidential whole loan pool purchases for the loan portfolio.
• Controlled trade documentation, daily settlement processes, and repo/ Confidential advance collateral management with counterparties.
• Derivative programs were conducted as fair value hedges under FAS 133 in relation to long term debt and to FAS 115 Available for Sale securities portfolios.
• Credit default swaps were sold (short) as credit protection for notional S&P/Moody’s diversified portfolios rated A or better
• Confidential option programs were conducted as covered calls written against agency Confidential, and short duration corporate securities.
• Aside from Confidential backed securities, and whole loan pools, Treasuries, short duration investment grade corporates, and bank qualified municipal securities were among the assets managed.

Confidential, Chicago, IL

Responsibilities:

• Prepared interest rate risk analyses for an $800 million synthetic premium CMO segment of a bank securities portfolio; prepared pricing analyses for indirect auto loan program and auto/RV loan purchases
• Managed Treasury short hedge position, financing for a $1.3 billion high yield portfolio of syndicated commercial loans and high yield securities, and fair value investment accounting
• Developed investment, derivative, and Financial Planning forecasts for Confidential ’s Confidential Confidential ;
• Developed investment, derivative, and Financial Planning models and forecasts for a sub-prime Confidential Confidential ;
• Valued compound options as a hedge for issued reinsurance, analyzed investment portfolio risk and prepared hedge analysis for an investment grade portfolio.

Confidential, Birmingham, Alabama

Responsibilities:

• Assisted CFO in monthly budget/plan review, and fair value analysis of financial instruments (loans, securities, hedges)
• Responsible for management of a $3 billion investment portfolio composed predominantly of Confidential -backed securities.
• Converted $2 billion to a total return framework with specific effective (option-adjusted) duration and effective convexity targets.
• The total return portfolio contained fixed and adjustable rate CMO’s, credit card and auto asset-backed securities, pass through certificates, Treasuries and interest rate swaps.
• Confidential was used to manage portfolio risk and analyze potential returns of alternative transactions.
• Established and coordinated investment strategy and related Financial Planning processes
• As part of the management team selected by Confidential Corporation to recapitalize and restructure Confidential, was responsible for fixed income portfolio management, whole loan pricing and trading, hedging with futures and Confidential options, wholesale Confidential funding and Confidential advances, balance sheet forecasts, asset/liability management, and cash and collateral management/wire room functions.
• Developed the Confidential Treasury Department and Confidential from start-up.
• Treasury Operations ( trade settlement, investment accounting, cash accounting, hedge accounting, and collateral management), Asset/Liability Management (regulatory and management interest rate risk reporting and various risk analyses related to security and loan fair value reporting), and Money Desk Confidential Issuance (wholesale rate based Confidential issuance).