EXPERIENCE:

Confidential, Stamford, CT August 2010 – June 2011 
Tax Analyst (Consultant)

• Processed support for accurate tax withholding and reporting to the IRS.
• Created and implemented a process and manual for collection of tax forms for the following: BAU, futures, money markets, equities, loan syndication, and FX, and put it into a PowerPoint presentation.
• Worked on remediation project within the Tax Operations group involving collection of tax forms and supporting documentation.
• Created and implemented procedures for how the tax department should run the BAU.
• Played major role in remediation efforts to procure tax documentation for accounts that have invalid/missing information.
• Prepared, reviewed and reconciled the data needed for year-end reporting on forms 1099 and 1042.
• Produced exception reporting and consolidated MIS reporting.
• Proactively followed up on open issues and provided feedback to managers.
• Managed all inquires, processes and issues relating to tax reporting for foreign IMY client accounts.
• Assisted on validation of tax forms and supporting documentation.
• Reviewed client tax documents and resolved issues.
• Built and maintained strong relationships with the Business and Operations groups.
• Coordinated with the RMs, Tax Utility and Corporate Tax personnel to resolve tax documentation discrepancies.
• Produced weekly status updates for the management team.
• Created a process document and Visio flow for the current manual validation process.
• Researched and responded on a timely basis to Tax Utility\'s requests, including approvals to code accounts for withholding and submitting mailings to clients.
• Created a process to incorporate reviewing and gathering of information from Client-On-Boarding and Customer Due Diligence.
• Maintained detailed records and updates on the tax documentation status of accounts.
• Identified and reported potential tax issues to management.
• Created a workflow process to capture tax forms for intermediary accounts (W-8IMY packages) process.
• Put in place daily Validation Process and trained new team member.
• Created and implemented a process for raising tax technical issues within Identity (Thomson Reuters’ system).
• Played major role in product testing in coordination for raising tax technical issues within Identity (Thomson Reuters’ system).
• Applied knowledge of GRDM, NUCLEUS, IDENTITY, CDD, MARKIT, and Client-on-Board.
• Opened accounts and used internal systems such as COB (Client Onboarding Tool).
• Performed KYC reviews on existing clients.
• Researched new systems that the tax group would be using and wrote up a manual for the group to better use the system (MARKIT).
• Reviewed Foreign Bank Certificates & Recertification to validate for completeness.
• Performed Due Diligence and Enhanced Due Diligence where required.
• Contacted business areas & clients to obtain required documents to meet bank policy.
• Supported the Americas Client On-boarding team through the collection, validation and reconciliation of tax documentation where required and working through resolution of tax form issues with the business and clients.
• Ensured documentation retained and stored in a secure manner, and maintained correctly for audit purposes.
• Helped ensure compliance with current year and future tax requirements.
• Worked with ADP (Broadridge) as the withholding agent for our domestic and international clients.

Confidential, New York, NY August 2007- March 2008 
Tax / IRA Analyst (Consultant)

• Identified and coordinated all tax requirements for interim and year-end reporting.
• Reconciled tax records loaded from Global Plus to TEFRA on a monthly basis.
• Monitored daily transactional activity for any reportable transactions and made required NRA and Backup withholding transfers to the IB to satisfy liabilities. IB makes payments to the IRS on UBS WM\'s behalf.
• Assisted in yearly reconciliation of NRA and BUW liabilities versus actual payments.
• Monitored and updated WMI systems to ensure that proper withholding rates are being applied.
• Interfaced with WMI, IT, Compliance, and Legal departments as well as the UBS Investment Bank Tax department.
• Provided support to front office by responding to inquiries on tax withholding and reporting as well as IRA related topics.
• Processed BUW reversals once accounts became certified.
• Reviewed Security Master Additions on a daily basis.
• Reviewed payment and receipt vouchers for internal and external tax payments and tax settlements.
• Worked with business units to ensure the timely input of state allocation information and evaluated the information for accuracy.
• Worked closely with UBS investment bank tax department to ensure proper tax filings.
• Ensured WMI USA compliance with IRS reporting requirements and filing deadlines.
• Interacted with IT to enhance internal/external reports such as gain/loss, amortization, etc.
• Coordinated with BBH all cash distributions and contributions transactions.
• Provided transactions detail for 1099R and 5498 Forms reporting by BBH.
• Ensured proper client reporting requirements met.

Confidential, New York, NY January 2002 - July 2007
Senior Operations Specialist / Team Leader - Tax Reporting

• Oversaw and developed a staff of six as team leader.
• Conducted disbursements review, wire transfers and Trade & Earnings System administration.
• Responsible for closing daily wires and signing off journals at the end of each day.
• Updated tax reporting Problem Log; Ops News information on the branch portal; Welcome Book for Clients (W-9 and W-8 forms); 529 College Saving Plan Form 1099-Q for monthly checkout.
• Monitored Puerto Rico Forms 480.6 A, B and C & 480.7 mailing.
• Responsible for withholding adjustments /SJEN\'s for 2006 and 2007 house accounts.
• Responsible for integrity of tax reporting systems and trailers.
• Performed Municipal Bonds Income Reporting /AMT.
• Handled Form 2439 (Death Beneficiaries) and uploading to systems.
• Remediated issues regarding cusips that were set up with incorrect tax codes, 1099-Rs, 1099-Bs, 1099-DIVs, 1099-Qs, and 1099-INTs.
• Traveled to the BAT ensuring that clients\' 1099s went out in a timely fashion and conducted spot checks to ensure all correct brochures (Remics, OID and UIT) were mailed to clients.
• Monitored monthly Stock Purchase Accounts and monthly Stock Option Accounts.
• Ensured income reclassification /checkout, online updates and for inputting date (reallocated).
• Headed tax workshop for all Citigroup branches, as well as yearly COB testing.
• Responsible for Day-to-Day support of year end reporting.
• Created PowerPoint presentation on anti-fraud training.
• Responsible for tax year multiple-state withholdings.
• Oversaw state return calendar, adjusted calendar as needed.
• Ensured timely filing of all state and local quarterly estimated payments and state extensions.
• Planned and oversaw the preparation and review of state separate and unitary returns.
• Utilized ADP (Broadridge) system to preform withholding and setting up accounts.

Operations Specialist - Confidential (Stamford, CT)

• Reviewed and maintained all Scholars Choice and Bright Start accounts on the Smith Barney proprietary systems.
• Performed oversight functions over the Smith Barney branches involving 529 Plan operations.
• Performed account openings (36D and 59D Corporate Account Applications).
• Ensured all Direct Deposit Forms and Payroll Deduction Forms were processed in a timely manner.
• Provided corporate oversight regarding the establishment and maintenance of corporate plans.
• Set up time targets for delivery of Payroll Deduction and Direct Deposit Forms to companies.
• Ensured daily information was added to the MIS Report and was updated.
• Ensured all wires and files matched, and were sent correctly; ensured the Metric went out monthly in a timely manner.

Confidential, Brooklyn, NY April 2000 - July 2001
Prime Broker Assistant

• Managed Prime Broker activity on behalf of professional traders, money managers and hedge funds.
• Applied knowledge of clearing DTC equity securities and ADP.
• Acted as liaison between brokers and clients regarding inputting fixed income and equities.
• Ensured all trades timely settled, and resolved any problems arising from processing, correcting, and canceling trades.
• Participated in the implementation of various STP initiatives - electronic trade capture (Bloomberg Trading System), centralized settlement instructions (ALERT, SID), electronic confirmations (DTC) and electronic trade delivery (SWIFT).

EDUCATION: 
MBA: Business Management/Accounting

Bachelor of Arts in Political Science 
Minor in Accounting

SKILLS: DOS, Windows, and MS Office Suite (Word, Excel, PowerPoint, Access, Visio).