SUMMARY
Project Manager/Business Analyst, with more than 20 years experience in the financial services industry, with full understanding of the trading order management life cycle (front office through settlement), Merger Integrations and many types of project management disciples’ including SDLC, Six Sigma and Agile. Initially was responsible for measuring the profitability of financial products (Commodities, Fixed Income, Equity, and a wide range of derivative products). This built a foundation which enabled me to deliver technology solutions in the Front, Middle and Back-Office, in some of Wall Streets most prestigious firms, over the past 10 years.

CORPORATE ACCOMPLISHMENTS

• By developing an alternative action plan for all critical functions, was able to successfully complete my project on time and within the allotted budget; the remaining 11 teams were delayed up six months for NOT properly mitigating their risk. Savings to client: $1,625,000
• With the use of advanced functionality of Excel (VBA/Macros, Vlookup and linking tables), was able to reduce the work-week, from 65 to 35 hours per week, thus allowing for more responsibility. Saving to client: $75,000
• With the use of Excel Macros, was able to reduce month-end process times from four weeks to 30 seconds, reduce error processing to less than 1%, thus reducing headcount from 5 to 1 professional. Saving to client: $150,000
• Conducted audit of Specialist and Two Dollar Brokers, on the New York Stock Exchange and was able to save the client $7,000,000 in overcharges.
• By instituting new policy (Car Service to the 5 borough after 8:00 PM; final destination after 10:00 PM) and centralizing firm wide black car service, was able to save the client $9,000,000 on an annualized basis. A $3,5000,000 saving was realized by disallowing employees to order car service 30 minutes before the 8PM requirement.

FINANCIAL PRODUCTS: Equity: Exchange Traded Equities and Options, in 40+ countries, American Depository Receipts (ADR), Contract for Different (CFD), International Order Book (IOB) and Global Depository Receipts (GDR), Index Futures, Options on Index Futures. Fixed Income: Treasury (Bonds, Notes, Bill), Mortgaged Backed Securities (MBS), Commercial Mortgaged Backed Securities (CMBS), Mortgage Revenue Bonds (MRB – Municipal Bonds), Discount Multifamily (DMBS), Real Estate Mortgage Investment Conduit (REMIC – aka Collateralized Mortgage Obligation (CMO)), Mega Pools (MEGA), Whole Loans, Swap/DWAC (Deposit/Withdrawal at Custodian), Insurance Wrap (Credit Derivative), Asset Backed Securities (ABS), MBS Futures, Options on MBS, Whole Loans, Interest Only (IO), Principal Only (PO), Interest Rate Derivatives (Caps, Collar, Floors), Municipal Bonds, Corporate Bonds, Junk Bonds, Commercial Paper, Credit Hedges, and Convertible Bonds. Banking Products: Commercial Loans, Trade Finance (Letters of Credit) Insurance Products: Guaranteed Investment Contracts (GIC) and Synthetic GIC.

ACCOUNTING DISCIPLINES: FASB 91 (Amortization), FASB 140 (Re-Securitizations), FASB 115 (Mark-to-Market & Impairment), FASB 133 (Securities Accounting), FASB 65 (LOCOM – lower cost or market), FIN 46 (Security Consolidation), Financial/Accounting Re-Statement, Security Cost Basis and Tax Lot Accounting.

DISCIPLINES: Project Management, Business Analysis, Functional Architecture, Process Analysis, Process Reengineering, Re-Securitization. (Conversion of MBS pass-though pools into: REMIC/CMO) Data Mapping, Data Modeling, Accounting (Trade & Settlement Date Daily P&L), Reference Data, Expense Management, Change Management, Market Data, Data Analysis Trainer, Requirements Gathering, Functional Specification Design, Testing (Test Cases/ Test Scripts) (Manual Testing & Automated Testing tools), Quality Assurance (QA), Documenting Process Flow, Re-Valuation (Pricing / Mark to Market/ Transfer Pricing), Business Modeling, Data modeling, Process Mapping, Custody (Global and International), Mutual Funds (12b-1 Processing) and Consolidation of Systems (Merger Related), Business Contingency/ Business Continuity Planning (BCP), Disaster Recovery (DR), GAP Analysis, Prime Brokerage, Software Development Life Cycle (SDLC) and Merger Experience (JP Morgan and Chase; Dain Rauscher and Royal Bank of Canada (RBC); JP Morgan Chase and Bank One). Consolidation of Income Statements, Balance Sheets, Chart of Accounts (COA) and Financial Products Management, for the JP Morgan and Chase Merger.

COMPUTER SOFTWARE (User): Excel, Excel Macros, MS Word, MS Windows, XP, MS Access, MS Project, CA Clarity, SQL, UML, DB-Visualizer, Mercury Quality Center (Test Director), ClearQuest (Rational), BusinessObjects (BOXI) Use Cases, HTML, FrontPage 2003, Microsoft Project 98, Microsoft Project 2003, Microsoft Sharepoint, Project Workbench, On-Time, Power Point, Lotus 1-2-3, Lotus Notes, Accounting Plus, Word Perfect, Phase3, Spreadlyze, McCormick & Dodge - CTS Millennium General Ledger, Futrack, Globeman, Tadia, Computer Associates (CA) Fixed Assets, Novell, SQL, & Visio.

FINANCIAL SERVICES DISCIPLINES: Front Office Trading, Broker/Dealer (Sell Side), Investment Management (Buy Side), Treasury (AFS- Available for Sale), Capital Markets, & Commercial Banking.

TECHNICAL SKILLS Excel (Excel Macros, Vlookup, Pivot tables, Concatenate, and Data Analysis Management/Cleansing Skills), MS Access, SQL Queries.

COMMUNITY SERVICE

• Manhattan Society: the junior volunteer committee of the New York City Chapter of the National Multiple Sclerosis Society, 10 years of service; 2 Executive Board Memberships

EDUCATION - B.S., Business Administration

PROFESSIONAL EXPERIENCE

Confidential,New York, NY (August & September 2011) (Consulting) Project Manager: Responsible for designing test cases / scenario for exchange traded funds (ETF), exchange listed index and equity options, in the following disciplines: connectivity to exchanges, Commissions, Fees (SEC, Exchange, OCC, ORF) and Compliance (Short Interest Reporting, Blue Sheets & Large Option Position Reporting (LOPR)).

Confidential,Jersey City, NJ (May & June, 2011) (Consulting) Technology Consultant: Responsible for creating process mappings, in Visio, for “Prime Brokerage” business & operations units which included: International P & S (Purchase and Sales), Government P&S (Bonds, Notes, Bills & Strips), Tri-party agreements, COD /Exception Reporting (including 15c3, Regulation T (Reg T), DVP/RVP (Delivery/Receive verses Payment)) and Mortgaged Backed Securities (MBS). Also, determined key risks and how to mitigate these risks, with controls.

Confidential,New York, NY (August 2010 to December 2010) (Consulting) Project Manager: Due to the Dodd–Frank Act and Basel II was responsible for managing the re-engineering and integration of the Global General Ledger into a market risk framework, within Change Management environment; variables included: market risk, monthly reconciliations, positions, scenarios, trading desks (Credit, Rates & Currencies, Mortgages) and reporting concerns, due to a compliance & regulatory directive. Utilized CA Clarity, in a Six Sigma/DMAIC environment, to manage the PMO responsibilities. Conducted weekly status meetings to review project timelines, risks, actions, issues, resources, budgets, change management protocols and possible delays were escalated to senior management. (Project Methodology: Six Sigma DMAIC Methodology)

Confidential,New York, NY (April 2010 to July 2010) (Consulting) Project Manager within Project Management Office (PMO): Was responsible for organizing weekly status meetings with constituency members; collected and consolidated current statuses, in PowerPoint, which were presented to senior management. In addition, I also update downstream documentation including: project plans, weekly dashboards, budgets, 60-day timeline, Headcount (resources planning, tracking and allocation) and other various reports.
Confidential,Charlotte, NC (October 2009 to December 2009) (Consulting) Senior Business Analyst: Responsible for writing and developing business requirements for the interest rate derivatives (IRD) application called MarkitWire (also known as Markit Wire, Swapswire or Markit-Serv). Also responsible for mapping all up and down stream applications, as well as the business process flow from front to back office. Products utilized included: Vanilla Swap’s, Forward Rate Agreement’s, Cap’s, Floor’s, Swaption’s, Straddles, Spread Trades, Exchange Traded Futures and Options. (Project Methodology: SDLC)
Confidential,New York, NY (September 2007 to December 2008) (Consulting) Program Manager: Responsible for: Managing day-to-day operations as well as capital planning for strategic growth; creation and upkeep of complex documents such as Service Level Agreements (SLA), Software Licenses & Service Agreements; supervised and mentored 10 direct reporting professionals; implementation of new corporate policies such as Change Management, Corporate Best Practices, Security Polices and Disaster Recovery Plan. Created an operational risk assessment report, to determine possible points of failure within the organization and how to mitigate that risk. Project Manager/Business Analyst: Experienced with managing multiple complex projects (i.e., several interfaces; in and out flow of market data, traditional and Citrix hosted solutions, new client orientation (client onboarding) utilizing a strong understanding of the SDLC process. weekly status meetings to review project timelines, risks, actions, issues, resources, changes and possible delays were escalated to senior management. Updated Use Cases, user manuals, business requirements, as well as technical documentation. Also was accountable for Project Management Office (PMO); responsibilities included: budgets, time sheets, project plans (schedules/dependencies) meeting notes, client billing, test of plans and tracking compliance. Also consolidate work streams, track & reported results to clients and senior management. Utilized Salesfore.com for all CRM related activities. (Project Methodology: SDLC)

Confidential,New York, NY (March 2007 to September 2007) (Consulting) Senior Business Analyst/Project Manager Responsible for the creation of requirements (functional, business, system/work process flows, data models, screen mock-ups, FIX protocol interface, prototypes mapping incoming reference data & client onboarding) for a web-based, start-up middle/back office system, which cleared Exchange Traded Equities, Exchange Traded Futures and Options, in 40+ countries. The financial product makeup also included American Depository Receipts (ADR), Contract for Different (CFD) and Foreign Exchange (FX), cash transactions and conformed to several compliance and regulation directivities.

Confidential,Jersey City, NJ (September 2006 to February 2007) (Consulting) Project Manager Responsible for creating project plans in Microsoft Project 2000, for the migration of three internal applications and internal accounting application (GLAS: including General Ledger) to an off the shelve Accounting Package (related to the merger of JP Morgan Chase and Bank One). Also managed the down-stream components: development, reference data, business requirements, configuration, design, test execution, implantation, and PMO office. Reported weekly status to senior management committee. (Project Methodology: SDLC)

Confidential,Herndon, Virginia (November 2005 – May 2006) (Consulting) Senior Business Analyst Responsible for the creation and execution of complex test cases, for a portfolio which contains various types of Mortgage Backed Securities (MBS) & Commercial Mortgaged Backed Securities (CMBS). Used DB-Visualizer, along with SQL (Standard Query Language) queries, to verify the results of these test scenarios. Used testing tools including Mercury Quality Center (Test Director) and ClearQuest (Rational) for the management of test cases/scenarios, the management of defects and automated testing tools. These test cases, where from the Investment Accounting perspective, with sub-topics which included: FAS 91 (Amortization), FAS 140 (Re-Securitizations), FAS 115 (Mark-to-Market & Impairment), FAS 133 (Securities Accounting), FAS 65 (LOCOM – lower cost of market), FIN 46 (Security Consolidation), Security Cost Basis and Tax Lot Accounting. Used Business Objects (BOXI) for the creation of canned and ad hoc reporting requirements. Owned the responsibility for writing Business Requirements Document (BRD) for Re-Securitization Processing, Validation and Customized Reporting. Project Manager: Responsible for leading a team of professionals in the validation (relief & execution) effort of Two Major Work-Streams (Sales & Re-Securitization), of the restatement project. Created a customized methodology (document) to identify and mitigate risk, along with a validation approach procedure, which included Reports and detailed SQL Queries. Interacted with Executive Management Committees and External Public Accounting/Audit firm, in the reporting of results. (Project Methodology: SDLC)

Confidential,Minneapolis MN & New York, NY (April 2004 –July 2004) (Consulting) Project Manager Responsible for creating project plans in Microsoft Project 2000, to consolidate two Brokers-Dealers (merger of Royal Bank of Canada (RBC) and Dain Rauscher) and into one from a (a) Fixed Income perspective and (b) Global Firm perspective. Was also a Mortgaged Backed Securities (MBS), Subject Matter Expert (SME), who was responsible for overseeing the conversion from Beta to MBS Expert (MBSE) and created detailed test cases/scripts for MBSE. (Project Methodology: SDLC)

Confidential,New York, NY (April 2004 –July 2004) (Consulting) Senior Business Analyst – Responsible for gathering requirements, from users (Traders & Risk Professionals) based in London, Zurich and New York, writing functional & technical specifications, for: (1) an in-house front office, trading application (GABS)who’s main products are related to ABS (Asset Backed Securities), CDO (Collateralized debt obligations) and Whole Loan Mortgages; (2) Risk Management Systems, which supplies users with intra-day and end-of-day speeds, status of modeled bonds, as well as market and credit risk (delta) information. Also responsible for data mapping/data analysis of market data feeds from several reference data systems, including Bloomberg, to a number of in-house applications, including Martini (a SUNGARD product). (Project Methodology: SDLC)

Confidential,New York, NY (July 2003 – February 2004) (Consulting) Senior Business Analyst – Responsible for gathering requirements writing functional specifications, writing use cases and creating screen prototypes for several projects related to a MBS (Mortgaged Back Securities) Front Office Trading (Trade Capture & Execution) Application & Back-Office System (Allocations). These projects included conversion of internal back-office system to ICI/ADP’s Impact, Position Financing (Repo, Reverses, Dollar Roll & $Roll), Real-Time Trade Matching (RTTM), creating of a user manual and the conversion of a Sell Side Allocation System to a Buy Side Treasury Allocation Application (Security Cost Basis and Tax Lot Accounting), which is governed by FASB 115 rules, AFS (Available for Sale), HTM (Held to Maturity), and MTM (Market-to-Market) Portfolio Types. Was also responsible for validating that these documents adhered to regulators specifications (compliance function). (Project Methodology:Six Sigma, CMM Level 3)

Confidential,New York, NY (June 2001 – November 2001) (Consulting) Project Manager / Senior Business Analyst – Day 2 Project (Merger between JP Morgan & Chase Manhattan) Created a more effective reporting method, for a risk mitigation process, that allowed senior management to reduce the time spent on this function, by about 75%. Manage project deliverables and progress through regular meeting with Senior Management. Monitor deliverables, activities, risks, jeopardizes and dependencies. Verified that the individual production pre-merger month-end financial reporting information from both JP Morgan and Chase Manhattan equaled, within an allowed variance, the consolidated global test information for JP Morgan Chase’s Income Statements, Balance Sheets and Chart of Accounts (COA). Created data-mapping tables that mapped financial accounts from a pre-merger organizational unit to a post-merger consolidate account number (account conversion processing). With the help of Excel, Macros, Access, PRF (Profitability Reporting Facility) and Oracle Sales Analyzer 6.3 (Oracle Financial Analyzer), I was able to create ad hoc reports and reconciliation tools, that assisted in this process. Also used the VLOOKUP & Pivot Tables function to consolidated information from several different sources, this is also know as Data Analysis.