SUMMARY:

• 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

TECHNICAL SKILLS:

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

EXPERIENCE:

Confidential

Senior Consultant/Implementation Manager

Responsibilities:

• 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.

Confidential

Project/Systems Integration Manager

Responsibilities:

• 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

Confidential, NY

Consultant - Business Strategy/Operations

Responsibilities:

• 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.

Confidential, NY

VP/Project Management - Middle Office/Securities Operations

Responsibilities:

• 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.

VP/Project Management

Confidential

Responsibilities:

• 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.

Confidential, NJ

VP - Client Integration/Trade Support

Responsibilities:

• 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.

Confidential, NJ

VP - Development Manager 8/06-9/07

Responsibilities:

• 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.