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Associate Principal Examiner Resume

New York, NY

SUMMARY:

Seasoned, goal - focused risk/compliance professional offering extensive experience in the analysis, application and implementation of compliant business practices in the financial services industry. Fully versed in regulatory compliance for market instruments, including Securities, Treasury Instruments, Hedge Funds, Foreign Exchange, and Prime Brokerage Accounts. Strong analytical skills with proven talent for resolving trading issues in fast-paced, deadline-oriented settings. Trusted resource for preparing reports and analyses for executive leadership.

CORE COMPETENCIES:

  • Risk Minimization
  • Analysis, Reporting & Metrics
  • P&L Controls
  • Client Relations
  • Mid-Office Operations
  • Cash Reconciliations
  • Trade Confirmations
  • Fails Management
  • Securities Trading
  • Fund Accounting
  • Prime Brokerage
  • Foreign Exchange (FX)

TECHNICAL PROFICIENCIES:

Bloomberg, Microsoft Office Suite, Confidential

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Associate Principal Examiner

Responsibilities:

  • Conducts examinations and other reviews related to Confidential, Confidential, Confidential and Confidential member firms’ finances and operations; sales underwriting and trading practices; and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements.
  • Analyzes sales practice and investigates customer complaints, terminations for regulatory cause, and activities of broker-dealer personnel to assess fair treatment of customers
  • Analyzes internal and supervisory controls in key areas of risk and evaluates broker dealer systems to determine quality, reliability and compliance with requirements
  • Assess adequacy of member firm’s financial condition and validates accuracy of regulatory filings, net capital computations and books and records
  • Develops evidence and analysis in support of enforcement actions; conducts or participates in interviews and depositions of customers, member firm personnel and others; partners with enforcement attorneys in development of formal disciplinary actions
  • Creates work papers to evidence scope of examination and the accuracy of findings
  • Provides comprehensive written and verbal reports to broker-dealer executives and Confidential management, including information relating to regulatory concerns noted during examinations.
  • Tests and reviews internal and external compliance reporting such as Annual Supervisory Reviews, CEO Certifications, AML Independent Testing, Internal Branch Compliance Audits and Annual Financial Audits
  • Acquires, maintains and continues to develop core skills and knowledge of relevant rules, regulations, and guidelines through completion of Confidential ’s structured training program.

Confidential, Jersey City, NJ

Asset Management Consultant

Responsibilities:

  • Delivered expert support to Portfolio Managers for administration and growth of domestic and international index funds in highly volatile, results-driven environment.
  • Partnered with traders, security operations specialists, fund accounting staff, banks, and dealers through end-to-end trade operations for processing and rapid response issues resolution.
  • Reconciled daily cash holdings; confirmed trades and remedied emerging trade issues, ensuring completion by hard deadline.
  • Delivered expert guidance during FX trades that minimized risk and returned cash to base currency.
  • Prepared business critical reporting used for risk management. Created monthly trade verification consolidation for ETF and weekly compliance report identifying companies practicing suspicious and risky behaviors.

Confidential, New York, NY

Client Information Technology Consultant

Responsibilities:

  • Executed process testing supporting enhancement of Prime Brokerage operational systems.
  • Ensured 100% integrity of data outputs and throughputs supporting high-volume trading operations.
  • Collaborated with Prime Broker Account Manager and development staff through testing, defect remediation, and product turnover.

Confidential, New York, NY

Fixed Income Prime Brokerage Consultant

Responsibilities:

  • Served as liaison between Prime Broker Account Managers, clients, and operational business units, for trade execution, reconciliation, and administration.
  • Processed wire transfers and Depository Trust Company ( Confidential ) deliveries and receipts; updated journal.
  • Analyzed and resolved trade failures ensuring timely completion including manual modifications to pre and post-settlement dates.
  • Provided break/fail reporting for Fixed Income Prime Broker business line.
  • Proactively tracked open issues and prepared detailed reporting that reduced organizational risks.

Confidential, New York, NY

Mid-Office Associate - Prime Brokerage

Responsibilities:

  • Promoted through positions of increased responsibility to serve as primary relationship manager for four hedge fund clients with net assets exceeding $2 billion.
  • Developed currency positions and validated accurate wire transfer completion. Communicated daily margin transaction data to clients via Confidential website.
  • Jointly developed joint fixed income and FX functionality with FX team.
  • Provided in-house expertise for new client on-boarding and off-boarding using data reference sets.

Manager

Confidential

Responsibilities:

  • Supported infrastructure build and registration projects for new portfolios including integration of Bloomberg, Asia Credit Trading, and Investment Grade Corporate Bonds. Provided extensive expertise for networking Corporate Securities operations.
  • Prepared reporting for Asia Credit Trading Global Book.
  • Developed centralized knowledge base for fixed income instruments as key member of Market Instruments Project team.
  • Explored viability of using e-commerce tools including Tradeweb and Cantor E-Speed to improve trade reporting efficiency,
  • Served as subject matter expert for exchange and inter-entity booking of Registered, 144A, and Reg. S securities.
  • Served as primary work stream point of contact during JP Morgan and Chase merger for integration of instruments including Investment Grade Corporate, High Yield, Asset Backed, and Credit Markets. Provided trader coverage and facilitated settlements as subject matter expert.

Associate

Confidential

Responsibilities:

  • Verified trades and ensured positions for financial instruments, including corporate bonds, MBS collateral, ARMs, whole loans, CMO, asset-backed securities, credit derivatives, treasury instruments, and options in collaboration with brokers, dealers and trade desk. Validated trade completion and accurate P&L reporting.
  • Policed trade exception monitors, verified trade blotters, and produced client confirms.

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