SUMMARY
Extensive knowledge in Investment Banking . Encompassing Operations Planning and Control, Management of Trust and Fiduciary Back- office operations (Settlements, Asset Servicing, Remittance, Corporate Trust -Issuing/Paying Agent) , and Accounting (Budgets and Expense Tracking).Skilled in Business Continuity Planning and Coordination. Well versed in Corporate Actions transactions on behalf of Tokyo clients inclusive of foreign tax ramifications.. Literate in Compliance and Regulatory issues such as Sarbanes-Oxley, FOCUS 15-C3, OFAC, SAS 70 and KYC.

EXPERIENCE
Confidential,
Florida Jan 2011 - Present
Validations Consultant (Part-time)

• Perform Operational Qualification and Installation Qualification on equipment, facilities, and systems ensuring compliance with the approved design and manufactures recommendations.
• Report on quality controls ensuring tested area is in compliance with good manufacturing practices (GMP) as detailed by governing bodies (i.e. International Society of Pharmaceutical Professionals).
• Ensure procedures are written in clear and unambiguous language
• Confirm operators have been trained to carry out documented procedures
• Ensure manufacturing processes are clearly defined, controlled and any changes to protocols have been documented and communicated to relevant operators.

Confidential,
NJ April 2009 – Nov 2010
Estimating Manager (Currently working as part-time)

• Managed day to day operations of delegating projects to estimators, ensuring addendums, due dates and extensions are noted and applied. Establishing budget price for architectural window, door, and rail based jobs to be submitted as GGM proposal for work. Post-bid review and negotiation with General Contractors and material-supply vendors. Central point of contact for all pre-construction activities (I.E. bids, forms, walk-through, addendums, R.F.I’s, clarifications, and pricing).

Confidential,
NJ Dec 1989 - Mar 2009
Assistant Vice President-Settlements and Remittances May 2000 - Mar 2009

• Managed day to day operations of Equity and Fixed Income settlement desks. Management includes coaching, mentoring, training, career development, annual reviews, and oversight of employee adherence to relevant regulatory and corporate policies and procedures.
• Coordinate and Authorize remittance processing with Funds Transfer department to understand forecasted cash needs and ensure liquidity, which included approx. net of 700 Million USD for DTC and 1.25 Billion for BONY per day .
• Managed Data Entry section responsible for updating Security Master Set-ups, Customer Information File, and customer trade and remittance instruction processing by way of manual, Swift and other means of receipt
• Managed the coordinated efforts to STP Settlement, Payment, and Customer Statement reporting by way of SWIFT. Efforts increased STP rate by 90%.
• Supervise prompt and accurate processing of Corporate Actions (mergers, acquisitions, exchanges, splits, spin off, liquidations & name changes)
• Managed technical projects including system upgrades for back-office settlement and messaging (SWIFT) systems from functional specification phase through production implementation
• Responsible for Officers and Supervisors managing the settlements of Fixed Income (FED) Foreign Exchange (Euro-Clear, JSCC) and Equity (DTC/Physical/ Euro-Clear) Securities including Repos, Reverse Repos, Security Lending and F/X transactions.
• Coordination of centralization, simplification, and automation in the handling of depository-eligible debt and equity securities, and in the processing of principal, income, and corporate actions for these instruments.
• Liaise and coordinate responses with Compliance and Comptrollers units on operational risks and opportunities associated with pre and post trade processing, Corporate Actions, Interest and Redemption processing, etc.
• Accountable for compliance with Bank of Tokyo - Mitsubishi UFJ\'s policy and a host of external regulations such as Sarbanes-Oxley, FOCUS 15-C3, OFAC, and KYC, Contact for month end reconciliation and reporting to corporate accounting.
• Managed relationship with Bank of New York, DTC, Euroclear, NY Fed, Bloomberg, ADP Proxy, SunGard, and OMGEO.
• Responsible for executing transfer of assets for both Custody and Corporate Trust operations.
• Processes tax and dividend payment with the highest accuracy rate that result in high productivity & client satisfaction.
• Analyzes tax treaties & secures documentation that results in 10-25% tax savings for clients and mitigates risks to Bank of Tokyo and clients due to tax related regulations.
• Conducts presentations on department functions to raise cross-department awareness & improves communication, share knowledge to increase productivity and create efficiency
• Coordinated the processing of 1099 and 1042 tax filings sent to clients at end of year

Confidential,
NJ
Trust Officer/ Supervisor- Operations Planning and Control Apr 1995 - May 2000

• Gather and document business requirements, create and distribute test scripts
• Function as a liaison between business, systems, and operations units providing guidance for resolving issues and ad-hoc reports requested by Tokyo Head Office
• Coordinate projects within back/middle office operations which require workflow and policy/procedure analysis and/or updates
• Create ad-hoc reports for internal and external entities
• Managed internal control section performing daily cash and position reconciliation\'s, prepared daily cash reports.
• Served as Systems Liaison for the Custody and Corporate Trust divisions
• Acted as a system administrator for In-House banking systems by granting system access to staff,

trained them on using banking software and other treasury tools.

• Wrote test scripts and implementation plans for all software upgrades amongst internal and external entities
• Developed and implemented bank performance scorecard program for Trust Operations Department.
• Performed monthly evaluation of all bank services based on service fee tracking.
• Coordinated with Corporate Accounting to ensure proper recordation of monthly bank fees accruals.
• Supervised Clearance Section, performed settlements for in excess of 700 Institutional accounts.
• Developed and implemented automation of DTC settlement activities facilitating a means in which management had a tool to capture current settlement status throughout the course of the day.

Confidential,
NJ
Accountant – Comptrollers and Information Systems Group Dec 1989 - Apr 1995

• Startup Accounting/Comptrollers Department for New Jersey Office in which Expenses and Budgets were tracked, consolidated and reported on for 13 Departments.
• Update and Revise mini-manuals for 12 operational departments
• Facilitate gathering and dissemination of transfer pricing data

Saint Peters’ College Major: B.S. Accounting (Minor: Business Administration) May 1991

Certified Treasury Professional (CTP), (Candidate) Feb 2008- Mar 2008
AMA’s Comprehensive Project Management Workshop Sept 2001- Oct 2001
Biopharma Institute- Installation Qualification October 2011
Biopharma Institute- Operations Qualification December 2011

APPLICATIONS/SYSTEMS
BONY/GSCX, DTC, Euro-Clear, SunGard, Tandem, SWIFT, Bloomberg, EUCLID, Business Objects,
Microsoft Excel, Word, Access, Power Point, Project, ACCPAC, SUNSTAR, OMGEO, SID, IMMS