SUMMARY

• IT Professional with Applications Project Management in Brokerage and Banking. Expertise managing multiple Projects as well as performing PMO functions. Excellent verbal and written presentation skills with (SDLC) full project life cycle experience on multiple complex systems including major re - engineering of applications. Extensive knowledge and experience with Equity and Fixed Income instruments and processing.

PROFESSIONAL EXPERIENCE

Confidential

Project Manager

Responsibilities:

• Project Manager coordinating/supporting Fixed Income and Syndicates for multiple projects including the Joint Venture merger of Smith Barney into Confidential and many mandatory- compliance related projects.
• Responsible for setup and tracking of new projects, enhancements, and run the bank development. Projects include both Waterfall and Agile methodology.
• Creation, monitoring, and daily updates of multiple share points including the tracking of project artifacts such as Estimates, Vision documents, BRDs, and business management approvals. Identifying and recording related risks and issues to projects.
• Coordination with Business and Development Managers for Allocation of resources to Projects and assignment of monthly resources.
• Generation of requests for deployment reviews and emphasis on minimization of risk through designated releases.
• Coordination of and reporting of technical highlights and significant business IT accomplishments to senior management for the Capital Markets division.
• Project Management of numerous projects in support of Capital Markets including implementation of new GUI interfaces for all Financial Analysts, Rebranding of all screens and printed customer communications, and analysis/replacement of interfaces to data sources.

Confidential

Project Manager

Responsibilities:

• Design and development in SUMMIT of new derivative product functionality for Bulk exercise of Futures and Options using Agile SCRUM methodology. Daily SCRUM conference calls with international outsourced programming staff to implement client priority software.
• Responsible for analyzing and resolving Client Cases worldwide related to Treasury and Capital markets software. This requires comprehensive solutions which may relate only to a single client’s software implementation or become a tested enhancement to an entire platform.
• Coordination of Software Development, Enhancements and Problem Resolution with offshore and local Programming staff.
• Responsible for the analysis, development and testing of Structured Products for OPICS from a business definition perspective. The worldwide customer base includes Brokerage and Banking customers. Instruments vary from plain Vanilla Interest or Currency SWAPs to more Exotic Instruments such as Total Return Swaps, SWAPTIONS, Inverse Floaters, Step-ups, Snowballs, and PRDCs.
• Developed and delivered training classes in house with simultaneous web connections to live classes internationally.

Confidential

Vice President - Project Manager

Responsibilities:

• Project Manager to develop a new Domestic and International Equity trade processing system to replace a legacy system supporting all trade capture, calculations, interfaces, settlement, and reporting. This included:
• Coordination with Stake Holders from Operations, Program Development, Middle Office, Compliance, the data center, and outside vendor representatives.
• Gap analysis and the definition, mapping, and programming of Interfaces for all Middle Office Domestic and International trade feeds as well as external connections to SWIFT, DTC, SIAC, OCC, NYSE, NASDAQ, and numerous vendors.
• Specifications through implementation of software to Clear down Trades and Open Items within the existing production system and use for initialization of new system.
• Testing with Domestic and International trading and settlement operational areas along with external entities and vendors. Protocols include SWIFT, MQ, NDM, FTP, with fixed formatting and XML.
• Project Manager of Equity back office systems with full responsibility for production support as well as new development driven by business and regulatory requirements. This included creating BRDs for new specifications followed by development, testing and software implementation. Processes included STP Trade Capture, Customer Confirms, P & S, Domestic and International Settlement Processing, and Compliance reporting.
• Responsible for SOX modifications and procedures related to Equities.
• Responsible for both Equity and Fixed Income ID and Hardcopy confirms for all traded instruments.
• Implemented automated Monthly Option Expiration Processing with full automation of non-standard flex options.
• Implemented many projects and industry mandated requirements such as: Decimalization, Y2K, Soft Dollars, Form T, and Blue Sheet Reporting.
• Production support of Domestic and International Stock Lending for firm long and short positions as well as arbitrage opportunities.
• Implemented and supported specific processing in support of various types of accounts including Proprietary, Customer, and Trust / Custody Accounts.
• Implemented Compliance applications including Front Running identification and reporting, restricted lists, interfaces to authorized brokerage houses for employee trading and subsequent management tracking, short sell monitoring and large option limit adherence.
• Managed Compliance and Regulatory requirements for trade reporting such as split RRs and Confirm Verbiage to identify Mixed Markets, Mixed Capacity, and related criteria. Trust Account processing and interested party considerations were also included.
• Extensive documentation using VISIO Diagrams, PowerPoint, Excel, Documentum, and Schedules using Project Management.
• Project Management of performance related processing initiatives for both systems savings and operational benefits to the user areas:
• Designed and managed a VWAP (Value Weighted Average Price) methodology to compress Market Executions into VWAP trades for booking and then to expand for functions where needed such as P&S Break Identification, appropriate billing, and compliance reporting. Compression of over 10:1 was achieved successfully.
• Developed processes to parallel process high volume Program Trading baskets with associated high priority processing for specific indentified trades and baskets.
• Developed many management information related functionality to monitor snapshots of application processing.