- Hybrid technology/business resource with 15+ years managing, integrating and supporting OMS/EMS Trading systems. Strong customer focus, project planning, execution and resource management skills. Possesses solid written and oral communication skills needed to partner with senior business and technology partners.
- Certified in Charles River Manager Workbench, Blotter, Compliance, Charles River Anywhere, System Administration, and Installing and Configuring the Charles River IMS v9.x. Experience configuring New Manager Work Bench v9.8
- Ability to support Intel and UNIX platforms systems with exposure to networking, database (SQL Server/Sybase/Oracle), messaging (FIX, MQ Series), batch processing AUTOSYS components
- Experienced in coordinating, negotiating, and motivating outside vendors and off - shore resources in support of timeline and IT project deliverables
- Responsible for Implementing Liquidity Bridge Aggregator ( LBA) for Confidential
- Played a key role Confidential ’s initiative to enhancement and improvement existing processes, applications and infrastructure for their Fixed Income TRACE reporting obligations
- Responsible for Client and Systems Integration for Algorithmic Trading Systems vendor
- Implemented OASYS and OASYS Global for Equities and Program Trading desks
- Managed Confidential Investment Managers Infrastructure integration with Brown Brother Harriman’s STP Trading Clearing System
Software: Charles River OMS v9.1, 9.3, 9.8, 17R1
O/S: Linux, Windows XP, UNIX
Languages: BEA WebLogic, C, Perl, Shell
Messaging: FIX 4.4, MQ Series
Databases: SQL Server 2012, Sybase SQL Server 4.2, Oracle 9I
Packages: AutoSys, BEA Weblogic, Microsoft Suite PowerPoint/Excel/Word/Project
Tools: PVCS, Awk, Make, dbx
Senior Consultant/Implementation Manager
- Documenting user (portfolio manager, trading and operational) workflows. These involved portfolio construction, what-if-scenario analysis, index/security modeling, re-balancing, order generation and routing; traded products ( equity, fixed income, FX, derivatives), order types (single, multi, split, merge ), FIX broker connectivity, commission defaults, streaming prices and workflow rules; post-trade confirmation, matching and export to accounting.
- Partnering with client and CRD infrastructure resources to implement network connectivity, provision middle-tier, database and FIX servers and load client data.
- Validating performance of CRD client, middle-tier, SQL Server and FIX connections during integration, UAT and prod deployment phases.
- Configuring group and user data access privileging to meet compliance requirements.
- Configuring user Manager Workbench and Blotter views; User Profiles, Layouts, Queries and Work Flow Rules
- Partnering with business/technology teams to maintain the integrity of relational database including accounts, position, security and issuer/security classification data.
- Reviewing FIX and application log files as necessary to trouble-shoot order routing and execution issues.
- Executing Portfolio, Trader and Operations work flow test cases as a validation of business functionality.
- Responding to CRD core functionality inquiries and providing support during UAT testing.
- Documenting upgrade tasks using CRD standardized methodology.
- Managing matrix resources to implement CRD infrastructure including network, client, and application, database and FIX connectivity.
- Managing project deliverables, resources and budget; providing status reports to client stakeholders.
Project/Systems Integration Manager
- Responsible for infrastructure and software integration of LBA ( Liquidity Bridge Aggregator) for Institutional and Retail Fixed Income clients including: JP Morgan Chase, US Bank, BNP Paribas, Stifel Nicolaus, Maxim Group and KeyBank
- Responsible for integrating ECN FIX message connectivity to (Bloomberg, Confidential, Bonds.com, BondDesk, TradeWeb Retail and TheMuniCenter (TMC).
- High level understanding of FIX 4.4 pre-trade, trade and post-trade message construct and flows
- Responsible for LBA client communication, including status reporting, risk management, escalation of issues
- Participated in QA application testing including validation of Market Data, Request for Quote ( RFQ), Hit/Lift, Inventory, Post Trade, TRACE, AutoPass and AutoRespond core functionality
- Responsible for managing internal and external IT resources ( Network, Security, Database, Intel and Development) necessary to implement LBA Trading system
- Responsible for documenting and implementing LBA infrastructure including ( network connectivity, application/db server and client hardware) components
- Team member for responding to LBA Production Support issues including responding to system alerts and client escalations
- Responsible for coordinating User Acceptance ( UAT) and Production LBA software updates
- Responsible coordinating Disaster Recovery (DR) testing of LBA Trading System
Consultant - Business Strategy/Operations
- Business Analyst focused on implementing the 2011 FINRA TRACE regulatory enhancements for Mortgage Backed Securities Securitization, Trading and Operations.
- Responsible for analyzing/documenting process flows for Institutional Fixed Income, Syndication, Retail and CDO Securities Trading.
- Responsible for conducting business analysis sessions with members of Fixed Income Securities Syndication, Trading, and MiddleOffice.
- Create Business Requirements Documents (BRDs) detailing Fixed Income securitization, trading, and operational challenges. Document required business and technology changes necessary to meet FINRA 2011 reporting guidelines.
- Responsible for monitoring updates from FINRA 2011 rules changes.
- Coordinate with Fixed Income technology partners to review design requirements for trade capture, processing, and FINRA reporting.
- Prepared high level project estimates and delivery dates with technology partners.
- Documented issues for project manager and project stakeholder reviews.
- Developed test criteria and test scripts for Integration testing.
VP/Project Management - Middle Office/Securities Operations
- Managed overall systems integration for US Equity Billing System including business requirements definition, vendor selection, and application functionality/system interfaces.
- Responsible for requirements definition, testing and implementation of Equity reports for new Electronic Trading (ETS) business.
- Managed systems implementation of Bloomberg Trade Order Management System (TOMS) for Fixed Income Trading business.
- Managed implementation of OASYS and Global OASYS trade allocation and affirmation systems for Equity DMA and Program Trading businesses.
- Managed design, development, testing, and implementation of Auto Security interface for Fixed Income business.
- Functioned as Business Analyst in terms of creating project artifacts including: business requirements, SOX Business Flow diagrams, use/test case scenarios, projects plans for Fixed Income trading (TOMS), Equity MiddleOffice (S3 Billing) and Fixed Income Settlement (Shadow) vendor integrations.
- Involved in improving TRACE reporting ranking with Fixed Income trading desk.
- Managed client on boarding including legal, compliance, credit, risk, and systems dependencies.
- Managed implementation of client connectivity to US trading venues including NYSE Arca, BATS, Direct Edge, and NASDAQ.
- Coordinated client market order testing including EMS/OMS (Belzberg, Bloomberg, ITG Triton, Charles River, Reuters, WEX) FIX connectivity, order routing, algorithmic single stock (VWAP, TWAP, Arrival, POV, MOC and Iceberg) and dark pool trade execution testing.
- Managed client systems integration including coordination between client trading, vendor order routing, Confidential MiddleOffice and SunGard Phase3 settlement systems.
- Developed, tested, and implemented US Equity Algorithmic performance report which tracked overall trading performance by exchange, account, product, and trading style.
- Documented Equity Portal Brochure for Equity Sales Desk and client distribution.
- Documented operational procedures for Equity DMA FrontOffice business.
VP - Client Integration/Trade Support
- Introduced new PMO protocol which included implementing project governance structure, pre-project analysis, standardized project templates and dash board status reporting.
- Managed Algorithmic client integration for multiple initiatives including Tora Trading, Confidential, UNX and RipTide.
- Responsible for managing Trade Support Team including ensuring the integrity and health of the intra-day order flow for production clients.
- Accountable for ensuring health and stability of End-to-End Order Client Order Flow.
- Responsible for vendor management including approving work requests related to Inforeach Trade Management System custom work, upgrades and patch releases.
- Responsible for managing new client integrations including managing pre-project technical analysis, FIX certification, Algorithmic Engine User Acceptance Testing, infrastructure provisioning, and production deployment.
VP - Development Manager 8/06-9/07
- Responsible for managing a development team of 4 (on-shore) and 3 (off-shore) to handle application enhancement and 1-2 tier application support problems.
- Successfully managed the implementation of TeamConnect v2.3, Worksite Web 8.1, and BEA 8.0 integrations with existing ML systems.
- Managed implementation of Advanced Invoice Management (AIMS) 3.1/8.0, BEA, and .Net integrations with TeamConnect 2.3 and Accounts Payable systems.
- Managed design, development, and implementation of Outside Counsel Approval Application (OCA) using BEA WebLogic 8.0, JMS queues and integration points with TeamConnect 2.3.
- Managed matrix teams consisting of network, Intel, UNIX, DBA engineering and production staff.
- Managed projects include - outsource of application support, DBA and network operations teams to Tata Consulting offshore; VERITAS NetBackup 4.5 upgrade, Charles River Trading System upgrade for Fixed Income Division, McGregor Trading System upgrade for Equity Division, MiddleOffice Strategic Platform integration, Global Billing System implementation; Implementation of Identify Software.
- Managed a team of 3 developers to perform “Lights-On” tasks necessary to support Equity and MiddleOffice Divisions.
- Managed application support related to intra-day trading and overnight batch processing for all applications within Equity and MiddleOffice Divisions. Applications include ( trade capture, trade execution, trading and operational reporting, trade and position routing to banks and custodians; overnight batch cycles to load updated trading, positions and security data into trading databases).
- Responsible for End-to-End Trade Order Flow and accountable for resolving issues reported by the traders, trade support and BackOffice personal.
- Responsible for implementing proactive monitoring for all system and application components leveraging AutoSys, BMC Patrol, and NetIQ software.