SUMMARY:

Financial Operations, Risk, Data, & Change Management Professional with track record of successfully delivering results on time. Unique blend of Front, Middle & Back Office experience (including Technology) provides insight to review & mitigate Operational Risks. Effective liaison between Business, Risk, and IT.

SKILLS:

• Project Management
• Business Analysis
• Risk Management & Reporting
• Program Management
• Operations Risk & Audit
• Operations & Trade Support
• Business Requirements
• Data Governance
• System Development Lifecycle (SDLC)

EXPERIENCE:

Confidential, New York, NY

Program Manager

Responsibilities:

• Program Management supporting Liquidity Risk Management for BASEL III / LCR regulatory risk mandates.
• Coordinate with Business Stakeholders & IT in multiple jurisdictions to review & obtain consensus & sign - off on strategy, timeline, & to ensure requirements are agreed to and correctly implemented according to Plan & budget.
• Lead regular team meetings (with global team) to review new priorities (i.e., Fed 5G, Delegated Act, APAC reporting, etc.) and deadlines. Also review status and address any issues related to business/system analysis, scope definition, dependency management, Test Planning, Program tracking, PMO, & project management.
• Hold regular meetings with senior management to review program status & any program or budget issues.

Confidential, New York, NY

Project Manager

Responsibilities:

• Completed project plan, & managed delivery to ensure milestones met within expected timeframe.
• Led status meetings with team & provided regular updates & status reports to PMO & Senior Management.
• Documented Operating Procedures, process flows, Gap Analysis & recommendations for future state changes.

Confidential, New York, NY

Project Manager & Senior Business Analyst

Responsibilities:

• Test & Implementation of Risk Based Haircut systems to calculate & comply with SEC Net Capital Rule 15c3-1 (two separate applications for Fixed Income and for Equities/Derivatives);
• Automation of various Client /counterparty / guarantor reports;
• Creation of Independent Price/Valuation Verification procedure and Price Comparison reports.
• Worked with stakeholders & IT to gain consensus on Scope, Project Plan, Milestones, Test Plans, etc.
• Organized project, completed plan, & managed delivery to ensure milestones met within expected timeframe. Led status meetings with Global Team & offshore Developers; provided status reports to Senior Management
• Created ‘Process Flows, Business Requirements (BRD), Functional Requirements (FRD), & other Documents.
• Reconciled & tested data. Created & documented various Data Rules & Contingency Plans.

Confidential, New York, NY

Senior Business Analyst

Responsibilities:

• Managed Derivative & Loan account operations for over $5BN (Trade Support, trade processing, cash reconciliations, cash projections, fund transfers, collateral management, etc.). Created and/or updated various Confidential & procedures. Automated data feeds & reconciliations.
• Created new semi-automated procedure for posting MBS paydowns in accounting system, improving both time & accuracy. Used security master reference data & Bloomberg API, improving both time & accuracy of postings.
• Led team to create semi-automated process for Bank Loan master data, transaction postings, & reconciliations. Documented new Confidential /procedures & supervised ongoing process. Created & reviewed exceptions reports.
• Developed Test use cases & tested various new data procedures, IT system updates, & system implementations.

Confidential

Responsibilities:

• Implemented controls to mitigate operational risks such as trade capture, cash & holdings reconciliations, and market prices/valuations used in net capital calculations. Produced metrics and reviewed with Management.
• Streamlined Operational procedures & improved Data Quality by creating management reports showing key metrics, reviewing & using them to improve, streamline, & automate processes including data on trade breaks & resolutions, reference data breaks, collateral management, account changes, monthend reports, etc.
• Worked with Audit & Compliance for SOX, SAS70, & other audits. Reviewed all processes, controls & risks with them. Reviewed metrics showing breaks & resolutions.

Confidential, New York, NY

Senior Business Analyst

Responsibilities:

• Migrated derivatives to new trading system. Reconciled master reference & transaction data to ensure quality.
• Streamlined procedures by automating data feeds used for Pricing, reconciliations, & transaction postings in accounting system. Also, set up standard reports & process to validate data quality.

Confidential

Procedures, Risk Control, Audit, & Management Reporting

Responsibilities:

• Documented Derivative & Loan Operations Confidential /procedures to meet with various FED regulations & reviewed new procedures with Audit. Also, reviewed, updated & documented various Pricing procedures.
• Created new exceptions reporting process for variance/stale prices, reviewed reports, & researched causes of breaks. New process reduced >$300MM par stale prices. Data sources incl. Bloomberg, Interactive Data (IDC), Markit, Reuters, etc.
• Worked with Pricing Committee to determine & document sources & methodology for new securities, incl. price hierarchy.
• Managed Data Governance & Data quality issues within the Derivative & Loan Operations Group. Worked with Data Governance team to revise data rules & metrics for specific accounts.
• Created various Metrics & Management reports to communicate status of projects & operational risks & controls.

Confidential, New York, NY

Vice President

Responsibilities:

• Analyzed new investments (CDOs, ABS, & CMBS); reviewed structure, collateral, credit enhancements, & internal credit exposure limits; Coordinated presentation to management for approval.
• Portfolio surveillance for $700MM+ Structured Product portfolio; reviewed monthly trustee reports, set up & maintained database of transaction/portfolio performances, & reported performance & risk measurements to senior management. Reviewed CDO market prices, credit risk & internal Intex Pricing/Valuation to assist Traders in portfolio management.
• Evaluated & modeled investment cash flows (utilizing Intex Solutions & Bloomberg) to determine value, potential of failing various collateral coverage tests, & potential of default or loss of principal.

Confidential, New York, NY

Vice President

Responsibilities:

• Sold loans & securitizations to fund Consumer Finance division. Reviewed documentation, pricing, credit enhancement, underwriting/credit criteria, & performance of underlying portfolios. Managed lender, investor, & rating agency relationships.
• Monitored $500MM portfolio returns & set up risk reporting for gains/losses, delinquencies, & defaults.
• Coordinated due diligence audits (underwriting, operations, servicing, and performance).
• Reviewed various datasets to determine viability of credit underwriting criteria. Monitored compliance with underwriting/credit guidelines & created exceptions reporting. Developed risk controls and key risk indicators (KRI) to detect early credit triggers prior to default.