SUMMARY:

• Forward - thinking multi-faceted financial technology manager with 20 years of hands-on experience and accredited project management methodology knowledge.
• Fully versed and adept at leading regional and global teams through both lean and extreme growth business cycles.
• Proven track record of producing high quality, efficient & complete deliverables.
• Always taking keen focus to ensure varied stakeholder requirements are met on target, while managing the pressures and challenges associated with extremely tight project timelines, regulatory timelines & guidelines, changing business priorities as well as resource constraints.
• Success in managing off-shore as well as on-shore resources (both technical and non-technical) of up to 20+ individuals.
• Fully PMI certified in project methodology. CFA Level 1 educated. Currently pursuing CFP (Certified Financial Planner).
• Strong financial business line knowledge within the following product lines: US Equities, OTC Derivitives, Options, Repo/Reverse Repo, Stock Borrow, Stock Loan, FX, Fixed Income, Confidential Exchanges and US Treasuries
• Experience leading large scale regulatory initiatives which include: LTID, Dodd-Frank, LEI, CICI and FATCA

CORE COMPETENCIES:

• Fully PMP certified in project planning, management, execution and tracking.
• Direct Communication to upper management (COO, CTO, CIO) via Confidential meetings, Dashboard & metrics reporting
• IT Maturity Assessment, Roadmap & Strategy Development
• Acted as lead change agent enforcing project governance & controls in various top broker-dealer technology divisions.
• Integrated full project goverance & change management procedures for various firms.
• Financial Business & Product line knowledge, Front-to-Back End Trade Processing experience
• Managed and helped architect Client & Account Global On-Boarding platform for Confidential Securities.
• Architected & managed regional US Options Expiration & Allocations systems processing for Confidential .
• Architected & managed the regional North American Account creation platform for Confidential Securities.
• US Treasuries Processing (When Issues) - Confidential
• Architected & managed Global & regional Sales Coverage Commision reporting systems in Confidential & Paine Webber.
• In depth US Equities, US Options, Fixed Income & Confidential product knowledge
• Experienced in providing front-to-back technology solutions for trade floor, wealth management, capital markets, regulatory controls & investment banking systems.
• CFP(Certified Financial Planner) candidate - July 2014
• Architected & managed Confidential exchange platform to bolster $15MM/annual revenue for top PaineWebber broker.
• Established vital production services processes and framework to integrate full L1-L3 application support
• Managed several co-located teams utilizing Agile as well as Waterfall, Scrum masters & full SDLC implementation
• Solid experience leading several large multi-institution, multi-national firmwide projects.
• Change agent & manager integrating full L1-L3 production support & BCP/Disaster Recovery Planning & policies.
• Managing Application development teams located globally with J2EE, Core Java, .NET, Hibernate, Spring & GWT front end technologies.
• Conducted full requirement gathering with all relevant stakeholders for North American Account creation workflow, obtained full stakeholder sign-offs via (BRD, Project Charters, Project Scope statements, etc) c.
• Designed and integrated proper regulatory controls within platform for proper integration of FATCADodd-Frank, Financial Crime, LEI & Large Trader ID.
• LEI, CICI - Implemenation of LEI, CICI vendor (Markit) data feed into global reference data platform
• Achieved acceptable data quality requiremets needed to measure counterparty risk used for BASEL Netting reporting
• Implemented a “follow the sun” near 24/7 support model for full L1- L3 reference data support and process mgmt..
• $350K/Annual operational vendor cost save to remove various redundanct (IDSI) vendor pricing files
• US Treasury process integration into global instrument data management repository.
• Lead regional business analysis to identify gaps and solutions revolving BASEL account netting data quality.
• Roadmap to streamline Registered Rep Sales Coverage management

TECHNICAL SUMMARY:

Frameworks: Classic ASP/VB COM+/ MTS/JavaScript/Vbscript/ IIS 4.0/SYBASE 12.5/ORACLE 9i, .NET (IIS/ASP.NET/C#.NET/VB.NET/COM+/SYBASE/ORACLE 9i)

J2EE: JSP, JSTL’s, Servlets, TomCat, Session Beans, IIS/SYBASE 12.0/ORACLE 9i, PHP, MySQL, Apache, Ruby on Rails, Joomla

Programming: C#.NET, ASP.NET, VB.NET, JAVA, JSP, JSTL, VB 6, Transact SQL, PL/SQL, JavaScript, Vbscript, HTMLLanguages C, COM, XML, OS/COBOL2, Perl, Visual C++, Microfocus COBOL, LISP, VM/Rexx, PC-SchemePL/I, JCL, Clipper, FoxPro, SAS, Pascal

Operating Systems: Microsoft Windows(all versions), UNIX/AIX/Solaris, Linux, MAC OS, VM/CMS, OS/2, MVS/ESA, VM/ESA Services ADP BPS, ADP BPS/A, MS Sharepoint Server, Erwin, MS Visio, COGNOS Reportnet & PowerPlay& ToolsCrystal Enterprise Server, Embarcadero, LOANNET, Altova XML Spy, Altova

WORK EXPERIENCE:

Confidential, New York, NY

VP, Regional Head of Reference Data Technology Services

Responsibilities:

• Managed multi-national teams on several global firm-wide projects to establish and “make whole” centralized firmwide platforms for instrument, pricing, rates, counterparty, client, account, books& SSI information.
• Established regional US reference data IT to grow support and development regionally within the US region.
• Supervisory role to add efficiency and streamline processes governing US Reference Data Instrument team.
• Achieved a $350K Cost reduction by eliminating redundant vendor pricing feeds for various regional equity markets.
• Globally managed rollout and development of Confidential ’s Client On-Boarding & Account On-boarding platform
• Managed requirement gathering, process management and stakeholder sign-offs for EMEA, Asia & North American regions. Worked closely with Front office Sales, Compliance, Client On-Boarding, Tax, Legal & Ops
• Provided an centralized solution to implement and disperse global and regional regulatory controls surrounding Client and Account on-boarding process and workflow. (DFA, Large Trader ID, LEI, CICI, Financial Crime, FATCA as well as other mandatory regulary controls and governance).
• Provided lead analysis surrounding fragmented legacy Sales Coverage and Sales Credit Management process.
• Presented front-office teams with various solutions reference data teams could help implement.
• Implemented US Treasury process within centralized instrument platform (including When Issues)
• On-boarded Mortgage Back Securities via direct vendor feed (from eMBS, Bloomberg enriched)
• Redesigned Options creation process via direct OCC feed (Bloomberg, Rueters enriched).
• Implemented full Change Management & Issue Management SDLC process utilized globally for global reference data.
• Implemented a “follow the sun” near 24/7 support model for full L1, L2 & L3 support on all reference data content and processes. Vendor Management.
• Successfully established downstream data cachces for global Fixed Income platform sourcing directly from centralized reference data platforms.
• Established required data quality needed to measure counterparty risk used for BASEL Netting reporting.
• Mainframe decommission project

Vice President & Regional Head of Corporate

Confidential

Responsibilities:

• Regional P&S Trade Breaks Solution by automating enterprise solution to handle T+1 through T+3 Trade Breaks for all US Equity products, Corp Bonds and ETF’s. Increased process efficiency and added high level auditing controls, plus detailed query and reporting tool.
• Greatly increased the regions’ FX processing capability by streamlining front office order entry feeds into back office FX booking and statement generation systems (via iFIXX protocol).
• Pioneered a sub-account creation system that centralized and systematically automated the approval and creation process used to generate sub-accounts for the Americas. System used across various sales desks, as well as back office New Accounts and KYC teams.
• Managed and streamlined various Compliance based systems that are used by the control room, regulatory reporting as well as Trade Surveillance and Supervisory Hierarchy management.
• Added governance and contols to fledgling and evolving corporate team by forcing the adherence of strict incident, project and change management tools and methodologies.
• Managed regional corporate portal as well as Global Intranet Portal and Extranets for the Americas.
• Scaled up infrastructure to accommodate growth in the FX business by implementing efficiencies in the Wires, Journal Processing and Wire Approvals.
• Managed various document sharing tools and a regional report distribution system for the Americas.
• Fixed Income statement & confirm processing migration to vendor (BroadRidge)

Confidential, New York, NY

Director, Global Operations Web Technologies

Responsibilities:

• Led the Web Technologies Division which handled all front-end trade processing, trade reporting and some trade execution systems for all daily & monthly transactional data executed on and reported on within the Confidential .
• Managed all infrastructure & front-facing systems used for daily transaction processing, settlement processing, trade fail reporting, Security Master & SEC Regulatory mandated data found in the US Region for US Operations, US Middle Office, US Institutional Equities Division.
• Partnered closely with COO, CTO, Head of US Securities Processing, Head of US Institutional Trading Desk to provide the communication bridge of ideas & requirements to the technologists
• Built the US OPTIONS Allocations and Executions system; responsible for processing and executing all US based Options products. Subsequently managed team of developers on all future enhancements & support issues, which included mandates by the OCC of moving to FIXXML & Options Symbology standards.
• Architected, designed and built the entire US Operations J2EE Production, Development &Disaster Recovery environments.
• In addition also created reusable, cross-platform security, entitlement and authentication components for all of Global Operations. Initiative produced cost savings in excess.
• Critically involved with large scale project which produced a $3.2MM/annual savings - Successfully managed downstream trade file aspect of outsourcing the Government Product, Fixed Income Trading and Operations Technology group to third party vendor (Ridge clearing). Involved detailed communications with various internal and external business units; internal and external technology groups.
• Launched and created the first Intranet based web-applications portal which converted over 100 legacy systems over to 50+ web-based intranet applications for all Global Operations user (which include US & Toronto user base) as well as US Middle Office.
• Pioneered, fully engineered & standardized several reusable user authentication and entitlement security components for both of our .NET/Classic ASP/VBCOM platform as well as our J2EE production environment
• Fully engineered and managed from ground-up the Journal Entry/General Ledger Account Balance system - Streamlining the SOX sensitive GL entry process via intranet for US region handling bulk processing of Journal Entries
• Helped produce firmwide savings of $5MM/annually via managing all aspects of a successful migration of the US back office front-end technology systems over to vendor ADP/Ridge Clearing (i.e. Project Streamline)
• Euroclear Settlement System for Bonds and Securities for all US based Euro transactions. Strengthened infrastructure by adding full DR & UAT platforms to current infrastructure. Leading project to consolidate CA and US Euroclear process and move to a Single Platform.
• Produced annual cost savings of $500K by leading three cross functional multi-national teams to implement all aspects of decommissioning the central Wealth Management and Trade Reporting Data warehouse in US and migrated entirely to our Toronto infrastructure.
• Major contributor to the success of a firmwide project’s $11MM one-time savings
• Managed the system functionality transference of all USGOT settlement and regulatory trade processing over to purchasing firm. (i.e. Oppenhiemmer Capital).
• Head BRP/Disaster Recovery Coordinator for three US based technology teams.
• Coordinated Disaster Recovery activities, tests, procedures & documentation for many Confidential teams; benchmarked progress to Senior Management.
• FINRA Regulatory FINOP Data Automation - Managed, coordinated efforts of several tech divisions and business units in order to put in place an automated XML/FTP/Informatica based process to submit time sensitive client account and transaction info to the Confidential to satisfy several new SEC Rules.
• Daily Trade Volume and Trade Execution Reporting Cube: Acted as Liaison with the business; system delivers (Bluesheets) Daily US Execution volume and uncondensed trade detail (SEC requirement)
• Established department-wide document sharing Sharepoint Collaboration Web portal, setup and implemented Sharepoint servers to be used for document repository (300 users); 1st group to begin developing Webparts
• Provided Risk Assessments and Impact Analysis to decom of Order Entry System, BRASS.
• Secured a $75K+ cost savings by aggressively negotiating database development software contract.

Project Manager

Confidential

Responsibilities:

• Led SOX certification initiative to validate compliancy for all Global Ops tech systems, performed gap analysis.
• Segregated Stock Activity System - J2EE/Oracle system used to track trade activity for securities found in the daily Confidential Regulatory list.
• AML Risk Rating project - assisted AML/Legal division in Risk Rating all CIBC US Equity based accounts.
• International SWIFT Settlement Instructions Systems - Designed to handle increased International branch trade volume, system reduced processing errors & increased efficiency by 75%
• C$ Trade Fails System - Managed & coded system that handles all failed Canadian based trades executed on Confidential .
• CageMaster - Legacy ASP/Sybase system handles all NY failed trades for account reconciliation.
• Mananged various settlement systems dealing w/Account Extenstions, Mailgrams,Sellouts,TEFRA & ACATS.
• Abandoned Property System - Consolidated the processing of abandoned property in all 50 states.
• Technology Server Infrastructure Migration from NYC to Toronto - Managed and coordinated all Web and Database infrastructure from NYC to Toronto; meeting all DAP and SOX compliancy. Coordinated migration with various internal technology teams on both the Infrastructure and Solutions sides in both US and CA.
• CIBC Global MIS Reporting Portal- Hands-on mgt. of a team of developers that designed & created a post trade processing, web-based reporting portal; CIBC Award winning site achieved success when site eventually set firm-wide standard as design standard for a Reporting Portal.
• Hands on team mgt of code reengineer project of 40 legacy M/F systems to Intranet. Savings >$350K/Annually.
• Managed Several legacy commission based reporting systems for US Institutional trading desk
• Spearheaded customer account purges over the years of US Retail & Institutional accounts.
• PM for the Data Admin System for Institutional accounts, system maintained account hierarchy for reporting.

Project Co-ordinater, Technical Lead

Confidential

Responsibilities:

• Designed Confidential trade processing system for one of CIBC’s top 10 revenue-generating brokers to increase business up to 15MM/year. System increase trade volume from approx trades/day;
• Created a “real-time” client position report; ability to see all client positions at one time in one central area.
• Coordinated efforts btw’n several groups & installed “safety nets” to insure processing success.
• Financial Revenue Reporting DataMart and Front end Reporting System - Managed team of 8 developers creating brand new Client Server & Web reporting system, complete with it’s own Datamart with over 100 new data objects (SP’s, triggers, etc). Redesigned & streamlined legacy process, reduced processing time of deliverables from 2 weeks to 1 day. Increased system value by adding Asset Management data (including offshore accounts). Produced more efficient revenue reporting.
• Account Executive System - Enhanced US Equities desk to view revenue reporting and to access, modify, reconcile & maintain current broker information. US Equities and Private Client Div used system to maintain/reconcile/report on all broker info, total revenue, and total asset under mgt. )