SUMMARY:

A proven Manager and Business Analyst with diverse experience. I have developed operational procedures that have reduced costs, saved time and created efficiencies. I have the ability to be an asset in both a Back Office Operations position as well as an Information Technology environment. Ability to manage, research, analyze, test theories, implement ideas and document all findings.

SKILLS/KNOWLEDGE:

MS Office MS PowerPoint Visio SharePoint JIRA MS Project Fidessa Broadridge Alert OASYS and OASYS Global Equity Operations KYC/AML User Acceptance Testing (UAT) Regression Testing Capital Markets Disaster Recovery Workflows * Settlement reconciliation Production Support and Trouble Shooting BRD/FRD * Offshore modeling and management

EXPERIENCE:

Confidential

Senior Project Manager

Responsibilities:

• Provided project management consulting services to the Institutional Products Group for the deployment of the strategic settlement system (Shadow Suite) project in conjunction with the larger International and Self - Clearing project initiative utilizing the Fidelity Systems Delivery Methodology (FSDM).
• Responsibilities included the project management activities to work with client and the development teams to ensure that client expectations were met.
• Responsibilities for over 100 individual projects "within the project".
• Chaired and led regular Project status meetings with users, vendor and management (Technology and Business).
• Disaster Recovery coordination, testing and updates.
• User Support
• Vendor Liaison
• BRD review and updates
• Issue tracking and resolution.
• User and Systems requirement documentation.
• Statement of Work review, approval and budget management.
• Budget control.
• Procedures development for new processes and functionality.
• Invoice review and processing.
• Assisted QA with test case scenarios and scripting for new functionality.
• Release time line planning.
• Project planning.
• Regular weekly meetings with key business partners to review requirements, testing and release status’.
• Corporate Actions processing support for Equity products.
• End to End processing support or Equity and Fixed Income products.

Confidential

Senior VP/Business Manager

Responsibilities:

• Oversaw key efforts to track and monitor budgets, costs, and operational allocations for the 2nd largest bank in the world, processing several thousand trades each day.
• Closely partnered with business entities to ensure alignment for customer and corporate strategies.
• Compiled, collated, and analyzed a wide range of statistical and financial data. Compiled Department weekly/monthly KRI (Key Risk Indicator) reports.
• Participated in KPI (Key Performance Indicator) discussions at weekly COO and Senior manager meetings.
• Active member of global working groups involved in various areas, such as Regional Manager Meetings, Global Trades Processing System Implementation, and Global Agents Costs Review.
• Saved $2 million annually by reallocating cost charges to London and Hong Kong affiliates; introduced related processes to achieve further savings of almost $1.5 million each year through better vendor contract negotiations and administration.
• Developed and instituted a procedure documents template to facilitate document review for format and content; finished this project within only three months.
• Selected as Business Resumption Coordinator, Business Information Risk Officer, IT Liaison, and Operations Project Leader.
• Assisted in reduction of overall operational costs to the business, over $2 million annually.
• Served as Business Resumption Coordinator, Business Information Risk Officer, Operations Project Leader and I.T. Liaison.
• Daily management of Risk reporting.
• Vendor Liaison, including Broadridge (ADP/BPS) and OMGEO (Oasys, OGD, Alert)
• Worked with Broadridge (ADP/BPS) product specialists to review Confidential use of the application functions in CAGE,
• Div/Reorg and P&S.
• Developed format of and rewrite of all departmental procedure documents.
• Member of global working groups including International Settlement System Upgrades, Global Trades Processing System
• Implementation, Global Agents Costs Review, Regional Managers Meetings

Sr Vice President, Project Manager

Confidential

Responsibilities:

• Led NY team in implementation of global Client Services Account Opening system.
• Analyzed all operational requirements, assisted Information Technology with mapping requirements and led the operations team in implementation of auto processing of clients’ standard settlement instructions.
• Wrote all departmental documentation including account opening procedures, business requirements and implementation plans.
• Assisted in creation of and of off shore “Center of Excellence” (Bangalore, India) for all account opening/maintenance functions.

Vice President - IT/Manager

Confidential

Responsibilities:

• Organized and directed teams of cross-functional professionals in launching an automated Trade Processing system, along with related applications.
• Finished this project on time and within budget in connection with Equities, Front Office, Back Office, and Compliance groups.
• Designed a main account opening application and database with links to vendor systems, Broadridge (ADP), Broadridge (Impact), and OMGEO (Alert).
• Saved $120,000 each year by outsourcing printing tasks for daily confirm and monthly statement preparation.
• Acted as Firm Coordinator for Decimalization and Equities Coordinator for Disaster Recovery Operations relating to Y2K.
• Managed the development team responsible for support and development of the International Settlement System, FISCAL.
• Worked closely with the development team and management team in London.

Vice President, Project Manager, Business Analyst Info Technology

Confidential

Responsibilities:

• Led team that developed and implemented an automated Trades Processing system. Successfully implemented on time and under budget.
• Outsourced daily confirm and monthly statement printing resulting in cost savings of approximately $10,000 monthly and more efficient delivery.
• Designed a main account opening application and database, managed the development team, spearheaded system and user testing and coordinated all . System has links to vendor systems, Broadridge (ADP), Broadridge (Impact) and OMGEO (Alert)
• Equities coordinator for Y2K Project Office.
• Firm Coordinator for Decimalization.
• Equities Coordinator for Disaster Recovery Operations.

VP - Operations

Confidential

Responsibilities:

• Oversaw all daily business operations involving trades processing, purchasing, sales, new account opening (including KYC and AML) and maintenance, and reconciliations for both domestic and international equities teams.
• Liaised with IT and back office staff on numerous projects and process enhancements.
• Acted as liaison between back office and Information Technology development on projects and system enhancements.
• Spearheaded the establishment of an auto match facility to support affiliates, utilizing OMEGO OASYS Global.
• Gained a solid reputation for quickly troubleshooting and resolving financial and operational issues.
• Assisted technology teams and staff with implementation and testing of Broadridge ADP and interfaces to internal systems.

Confidential

Vice President, Operations

Responsibilities:

• Managed the day to day operations of Trades Processing, Purchase and Sales, New Accounts and Reconciliations for both the International and Domestic Equities teams.
• Acted as liaison between back office and Information Technology development on projects and enhancements.
• Created BRD’s for business enhancements
• Implemented process and technology solutions for Trades Processing and New Accounts
• Worked with Settlements team to troubleshoot issues

Confidential

Assistant VP, Operations

Responsibilities:

• Performed daily trade reconciliations with overseas offices.
• Managed New Accounts, Trades Processing and Trades Confirmations teams.
• Assisted in design, performed testing and oversaw implementation of new Trades Processing system and automation of trade confirms with Confidential ’s Global Oasys.
• Worked with Settlements team to troubleshoot issues
• BRD creation for new system enhancemnents

Confidential

Customer Services Representative

Responsibilities:

• Answered and tracked all client calls.
• Followed up to resolution all inquiries.
• Handled 1099 inquiries and creation of amended 1099s as needed.