SUMMARY

• Senior Project PM/BA for (1) bank OTC derivatives capital markets dealing firms and (2) a leading cross - asset enterprise-wide vendor in OTC and Exchange commodities / rates / credit / FX trading / trading and risk management. Roles related to market/regulatory research, PM/BA, Project Design, Testing and Delivery for CFTC/EMIR Regulatory assignments. Performed Regulatory Research, Discovery / Requirements Gathering (Regulatory, Strategic thru System BA Analysis). Process included Joint Design Session work
• (Project Stakeholders, Users and Development teams), Budgeting and Project Risk Assessment. Served as management point of contact for reporting, steering committee coordination / break-out work streams and deliverables management. Projects related to full transaction life cycle for OTC Derivatives and Bank processes, operations and reporting.

PROFESSIONAL EXPERIENCE

Confidential

Consultant, OTC Derivatives Regulated Margin/Collateral Program

Responsibilities:

• Business Analysis / Delivery: US, CAN and EU regulations for Sep 2016 Phase-in of BIS-IOSCO IM / VM Non-Cleared Derivatives Collateral / Margining Regulations.
• Analysis Role all aspects of Regulatory Margin Trade Eligibility / Netting Sets / SIMM (model) attribution for exposure calculation to support collateral delivery.
• Development Compliance Regime (Rules Engine) in support of Pre-, Post-Trade Checks for derivatives trading activity across multiple vendor and E-commerce trading systems.

Confidential, New York, NY

Project Management / Business Analysis

Responsibilities:

• Organized department / developed staff (NY/LDN) for new Project Management / Business Analysis Group with focus on formal requirements gathering / sign-offs in Waterfall / AGILE SDLC approaches.
• Undertook research relating to Compliance and Model Validation / CFTC / Volcker / CFTC / ESMA / HK regulatory pillars relating to Risk Mitigation (Port. Reconciliation / Trade Compression (Tri-Optima) / Trade Reporting (DTCC)/ Clearing and Margin / Collateral Initiatives for teh swap book.
• Process enhancements to trade processing / credit monitoring; e.g. automated “feed” of master security instruments: deal terms and conditions and credit rating automation: Moody’s / S&P.
• Delivered enhancements and strategic Compliance projects relating to Global Trade Reporting (multiple jurisdictions) / SEF execution / OIS / CSA Pricing / Risk / Trade Reconciliation / Trade Compression / and liquidity/funding reporting for teh FED/BIS and LT KYC/AML IT-Compliance Projects

Confidential, New York

Responsibilities:

• Significant project management / lead business development assignments at international client sites (commercial banks, central banks, buy side investors) in lead business consultant / project management / implementation roles relating to proprietary software customization and implementation.
• Client Site Sr. trading and risk management PM/BA role for banking/buy side clients: Performed gap analysis / requirements gathering related to support cross asset trading / risk management for OTC derivatives and securities trading implementations.
• New product development for exotic, structured transactions and transaction modeling.
• Design and specification for agency securities lending and ISDA collateral management modules.
• Manager, start-up phase of North American consulting for newly established Client Services Group.
• Extensive formal training material and class development in fixed income trading/risk management (client trading, internal staff training and training of trainers), deal modeling and interest rate and FX curve design and set-up for internal staff and international clients..
• Prospected investment opportunities and analytic support for start-up U.S. venture capital firm.

Confidential, New York, New York

Vice President

Responsibilities:

• Managed investment analytic group (4 analysts, 3 supporting staff). Produced research reports / limits on bank/corporate counterparties via internal modeling (PFE) / credit assessment supported by Moody’s / S&P-based industry and company reporting and ratings.
• Established with trading desk and legal group investment guidelines for new product introductions.
• Upgraded global portfolio reporting function to include potential exposure-based monitoring system.
• Instituted automated proprietary credit analytic rating system for counterpart assessment and historic default-rate loss reserve system.

Confidential

Assistant Treasurer, Sr. Accountant and Audit

Responsibilities:

• Performed investment and regulatory research with respect to money market investment program, project finance, securities investment, partnership holdings, and medium-term lending and leasing activities.
• Managed money market investment and asset-liability matching system for portfolio of $500 million short-term investments (CP, FRNs, loan participations) and synthetic assets.
• Developed and managed G/L and S/L accounting operations. Recruited and managed accounting, treasury and settlements staff (7) in support of investment operations.
• Initiated commercial paper issuance and managed long-term debt launches for U.S. domestic and Euro-capital markets in support of investment activities.
• Launched Internal Audit Department. Staffed, trained and organized group. Delivered internal audit guidelines / plan thru first year of execution. Primary liaison with parent bank internal audit, bank examiners, SEC and external auditors.