SUMMARY:

• Financial Services Professional with 15+ years of experience.
• Proven Regulatory background. Strong knowledge of SEC and FINRA rules, including Rules 17a - 13 quarterly count, 15c3-3, NASD 11Aa3-1, SOX 404 and Section 31. Strong Regulatory and Compliance inquiries knowledge.
• Excellent analytical, written and verbal communication skills. Good understand of trade lifecycle and risk management. Great ability to interact with Technology and Line of Business, regarding complex issues.
• Excellent organization and planning skills

PROFESSIONAL EXPERIENCE:

Confidential

Senior Regulatory Specialist/ Business Specialist

Responsibilities:

• Manage a team on consultants doing a daily remediation and testing of EBS process
• Manage the EBS Non-Financial Regulatory Reporting process
• Develop weekly Metric for Non-Financial Regulatory Reporting
• Work and develop monthly and quarterly testing process for Non-Financial Regulatory Reporting
• Create weekly and monthly Scorecards for Electronic Bluesheet System
• Monitor teams daily handling of BlueSheet reporting Inquiries from SEC and FINRA
• Liaise with the Front Line Unit to determine Control Functions
• Work with IT to develop and test trade flows to EBS reporting
• Review and interpret FINRA and SEC rules and it pertains to regulatory reporting
• Liaise with Compliance legal and outside consul regarding guidance of new rules
• Manage daily Chronology Inquiry request from FINRA and SEC
• Identify risk and control gaps as it relates to significant exceptions in front middle and back office trading systems
• Work daily responding to regulatory inquiries regarding merger and acquisition i.e. (Secondary Offering)
• Interact with Senior Investment Banker regarding regulatory request
• Provide information to Senior Compliance Managers on regulator inquiries request
• Work on ad-hoc project and provide leadership responsibility in directing and evaluating the work of more junior analyst
• Work and analyze more complex inquiries and data validation & reporting from SEC, FINRA, and other Regulators where appropriate
• Work on customer complaints, and provide management information on relation regulatory inquiries
• Provide support to change functions within the Compliance group

Confidential

Senior Business Analyst Change Manager

Responsibilities:

• Delivery of small to large projects through all aspects of the lifecycle
• Provide business knowledge to the project environment, at different levels and to differing degrees of specificity and breath
• Provide conceptual solutions to often complicated business problems / needs
• Provide recommendations for preferred solutions, with consideration of associated risks, cost and timescale
• Development of the documentation of business operating models, business requirements, organizational designs and solution / functional designs
• Assist business areas in understanding problems and subsequent requirements and solutions
• Work closely with other Business Analysts and IT groups to define the functional design documents
• Facilitate the sign off / agreement of business requirements documents via presentation, one to ones or workshops.
• Review process with the businesses and work with user on
• Support and manage the implementation of the required solutions
• Make recommendations to improve procedures and working practices
• Identify and track issue and risk, do root cause analysis and provide resolution
• Conduct project updates sessions with required stakeholders
• Understanding of change framework - RACI Model

Confidential

Senior Regulatory and Control Business Analyst

Responsibilities:

• Developed BRD’s for in house system conversions
• Worked with IT to ensure BRD’s are followed and projects are delivered in a timely manner
• Researched root cause analysis tracking to remediate daily issue
• Maintained due diligence on changing policies and procedures i.e. Dodd Frank, SOX
• Developed and maintain policy and procedure manual for group
• Maintained and resolving customer segregation deficits
• Monitored all securities products types regarding “SEG deficits”
• Provide test support for new process.
• Reviewed all Smith Barney “SEG deficits” daily as it pertains to 15c3-3
• Responsible for notifying the appropriate departments for resolution

Confidential

Senior Risk and Control Analyst

Responsibilities:

• Managed the risk and control process for the Lehman Brothers Bankruptcy
• Oversaw journal entries and wires that are process per Trustee and Confidential instructions
• Liaised with Confidential to review and resolved over 7500 open cash breaks
• Researched and reconciled 50 million in T&E items across all business entities
• Investigated and resolved $100 million in direct deposit payroll items
• Responsible for researching and resolving bank reconciliation out of balances
• Resolved external bank versus ledger discrepancies and research aged suspense items
• Investigated open unapplied items in R&D and analyze and resolve open trade discrepancies

Confidential

Senior Risk and Control Analyst

Responsibilities:

• Performed risk assessment in regards to different operation areas
• Analyzed and process accrual accounts to ensure sufficient funds are available to pay our SEC monthly invoices
• Build out new SEC fee reconciliation process
• Monitor and Test new reconciliation
• Managed payment of trading activity fees to FINRA on a monthly basis
• Investigated open trade discrepancies with middle office, and help resolve open items in a timely manner
• Analyzed the current controls behind discrepancies to identify exposures, weakness and risks
• Provided daily MIS of open items and create efficiencies in management reporting
• Able to analyze complex trading strategies to ensure comprehension of SEC fee rules
• Built and maintained strong relationships with internal and external clients
• Liaised with middle office and technology to understand the different front-end systems as it relates to SEC fees regulation
• Able to answer questions from the Front and Middle office regarding trade SEC fee rules
• Understands front to backend trade flows
• Good understanding Trade reporting rules e.g. ACT, OATS, TRACS, DPTR systems
• Knowledge of TRACE rules as defined in Rule 6210

Confidential

Audit Control Group Senior SOX Specialist (Consultant)

Responsibilities:

• Managed global balance sheet ownership review for assessing monthly and quarterly SOX requirements
• Identified key controls to test and evaluate and test operating effectiveness
• Established and maintained an adequate internal control structure and procedures for financial reporting
• Maintained and updated all relevant information in our operational risk metrics as it relates to our SOX quarterly review
• Collaborated with other departments to ensure all firm accounts that feed the balance sheet have a control process in place
• Liaise with risk and financial control departments regarding internal risk issues
• Supported the quarterly risk and control assessment (R&CA) process to ensure compliance with all internal and external reporting requirements and deadlines
• Worked with management to establish a process to assess and certify the effectiveness of its internal control over financial reporting
• Created and maintain sufficient documentation to allow external auditors to independently evaluate the effectiveness of internal controls over financial reporting and attest to management’s assessment, i.e., SOX 404
• Managed the bank’s 17a-13 quarterly review and collaborate with external auditors
• Responsible for maintaining and reviewing data for SEC section 31activity assessment fees
• Documented workflow and identifying risk and controls process for cash equity group
• Performed analysis across various information sources (e.g., KRIs, loss data, operational risk-related incidents, outstanding actions plans, etc.)
• Promoted and facilitate a culture of operational risk awareness and continuous improvement in the control process

Confidential

Control Administration Operations Specialist

Responsibilities:

• Provided value-added reporting and enhanced processes by proposing and performing various automation projects
• Developed and maintained relationships with regional and global Ops, internal and external auditors and clients, and various levels of management
• Provided support for weekly and monthly risk and performance reporting.
• Analyzed daily stock record reports
• Collaborated with other departments to resolve aged stock breaks
• Performed analysis and testing on a broad range of business activities and functions
• Monitored outstanding issues and action plans (raised during audits, Incidents Reports, control testing, periodic reviews, etc.) o ensure timely resolution/completion
• Interacted with other brokerage firms to handling compensation claims
• Collaborated with the firm’s external auditors regarding quarterly reviews

Confidential

Control Administration Operations Analyst

Responsibilities:

• Researched and analyzed daily stock/aged record breaks
• Created daily MIS reports to distribute to senior management
• Evaluated client suitability, legal suitability, and asset requirements for all new account paperwork
• Collaborated with branches to ensure the receipt of all necessary documentation for new accounts
• Interacted with investment managers and SSB branches to provide statistical data for trading errors
• Researched all SSB branch inquiries regarding Tefra withholding
• Calculated daily reports for adjustments to IRS, SSB clients or SSB escrow accounts
• Adjusted IRS W9 and W8 withholdings on SSB accounts

Confidential, New York, NY

Compliance Adjuster

Responsibilities:

• Researched customer inquiries via phone calls and correspondence
• Implemented chargeback procedures against merchant’s banks
• Extensive monitoring to ensure adherence to chargeback, compliance and Regulation Z time frames

Confidential

Financial Advisor

Responsibilities:

• Developing a book of business in order to meet and exceed the required performance hurdle
• Effectively sourcing prospective clients, capitalizing on referrals, assessing customer needs
• Recommending investment products and services that are suitable for prospects and clients based on their objectives, resources, time horizon, risk profile and preferences
• Balancing investment management, sales activities, customer service, new client development, administrative, compliance and personal growth and development according to both a day-to-day and longer-term plan

Confidential

Trading and Compliance Customer Inquiries Analyst

Responsibilities:

• Conduct monthly order ticket review
• Perform Trading analysis on daily customer compliant
• Responsible for daily runs for Front-Running and Mini-Manipulation review
• Provide recommendation to Compliance Enforcement for possible action
• Liaise with Floor Broker and Customer to provide resolution to daily issues