- Knowledgeable of a broad range of SEC & Canadian Exchange policies and regulations
- Extensive experience with Confidential trading platforms: TSS, HOTS, AOP, Belzberg, Legacy, PCOE, DOMS Trading Tools
- Competent with many database programs: Chorus, MRA/Tandem, Paperless, TDE, TRAQCS, iGate, ASAP/Bridge, ML access database, MS office
- Extensive use of Bloomberg, Excel, DTC, DRS, DWAC, ML Trade settlements, ILX Quote and NASDAQ Level II quoting systems
- Fluent in English and Arabic, familiar with Spanish
Confidential, New York, New York
Quality Assurance Senior Project Manager
- Managed the QA testing team (AQAT), which consists of 15 analysts (internal & 3rd party vendor) for the TCoE group.
- Responsible for managing and delivering successful projects that range from $1 to $10 million plus.
- Participated in strategic planning sessions with technology, stake holders & senior managers to advise before projects kick off date.
- Managed the implementation and migration of trade scenarios to Oracle Mantas & Actimize applications.
- Ensured QA team defect analysis was delivered properly according to department SDLC (Software Delivery Life Cycle).
- Oversaw & managed both the budget and expense accounts per project. Responsible for effort estimations, resource budgets and resource allocation.
- Established cost savings strategies while ensuring maximum efficiency of testing was accomplished per project.
- Reviewed & approved Test plans, Test Execution Approach, Go/No Go Deck, issue trackers and HPQC defect assignment.
- Managed the building of Trade Surveillance Scenarios from Mantas application & monitored the entire testing stages to ensure all defects were captured/tested.
- Responsible for the overall delivery of accurate test cases to senior business managers and the technology team.
- Ensured all test cases meet FRD/BRD requirements presented for each testing scenario. Supervise all functional/UI testing across the entire life cycle.
- Oversaw all stages of testing from initial SIT, UAT and final Deployment into production.
- Responsible for monitoring, testing and presenting all defects for the entire test life cycle. Reviewed & updated Daily/weekly senior manager reports.
- Managed and resolved any escalations as they arose. Ensured team productivity and accurate resources were assigned accordingly to project specifications.
- Reviewed and ensured Required Traceability matrix was accurate and all specifications/deliverables were being met for the compliance department.
- Monitored project potential risks & took immediate actions in order to minimize risks, delays or inaccuracies. Escalated critical defects immediately.
Confidential, Jersey City, New Jersey
- Responsible for testing multiple new system integrations and delivering analytical reports back to senior management and technology teams.
- Oversaw multiple projects that were responsible for promoting and improving efficiencies, workflow, customer service and control.
- Delivered multiple cost saving strategies to ensure optimal budget utilization. Responsible for overseeing & reducing expense accounts.
- Offered numerous recommendations to senior management in ways to enhance and improve post cycle executions for our clients.
- Assisted Sales Traders in post execution trades, force execution and allocations.
- Resolved high flow of trades of post execution, exceptions and pre - matching.
- Managed exceptions relating to sub-allocated trades throughout the trading processing life cycle.
- Ensured accurate trade allocation and processing associated with Syndicate Offerings.
- First point of contact for institutional clients for all post execution services requested.
- Worked closely with team members across regional offices in London, Asia, and New York to ensure accuracy of executions and payments.
Confidential, New York, New York
- Managed a team of eight analysts to monitor and maintain the integrity of the firm’s Information Barriers Watch List and Restricted List.
- Responsible for managing a highly sensitive and critical surveillance project that is ultimately reported to Federal Agencies.
- Supervised and managed the Over the Wall (OTW) member Team Macro testing Look Back project.
- Reviewed and approved the research of trades for companies that are on Watch List or Restricted List that have been flagged.
- Investigated potential breaches of insider trading or use of non-public information that might occur on trading desk.
- Assisted senior management in researching and escalating all potential breaches on highly sensitive confidential private side information.
- Monitored and tracked daily/weekly escalation raised breaches and provided updated senior management reporting.
- Assisted in preparation of policies, regulations and control manuals to ensure compliance surveillance is meeting the firm’s and Federal regulations.
- Monitored and implemented risk control procedures to minimize potential risk. Ensured all projects goals met all deadlines of the firm.
- Introduced continuous improvements and support in working practices to constantly improve member team efficiency.
Analyst Team Leader
- Completed one of the largest firm projects (Book Completeness project), undertaken to analyze all trade books of the firm for every product line.
- Responsible of overlooking/analyzing the Global Equity/FI Credit reconciliation analysis for trade book accuracy and complete accurate risk mapping.
- Worked with Market Risk Managers to identify & correct trade books that were not captured by risk systems.
- Assisted Product Controllers in assigning clearance codes to maintain complete trade book accuracy.
- One of the main testers on numerous developed electronic reconciliations tools developed by IT department.
- Analyzed & offered several recommendations that resulted in the enhancements & successful development of new Barclays Auto Reconciliation Tool.
- Oversaw the completion of trade book accuracy. Added numerous recommendations while working with IT & Controllers to enhance generated reports.
- Created weekly MI reports to monitor the progress of different projects that were designed to enhance reconciliation of trade book accuracy.
- Created revised documentation standards to ensure proper evidence was available for internal/external stakeholders and auditors.
- Developed manuals and implemented a monitoring process to ensure ongoing compliance for any new regulations imposed on the firm.
Confidential, New York, New York
Canadian Equity Trader Assistant/Trade Support
- Registered Equity Trader with TSX and Venture exchanges. Ensured accurate & balanced suspense trading accounts.
- Assisted equity trader to execute & book large block equity orders (5000 shares or more) for GPC division Private client.
- Reconciled the Canadian FX trading accounts & execute FX conversion trades for proper trade settlements.
- Managed exceptions/trade breaks, pre-matching, commissions & allocations, to ensure accurate client confirmations.
- Worked with different position traders to execute & obtain best fill price for client depending on market conditions.
- Monitored all unexecuted block GTD orders & adjust orders according to market conditions.
- Daily revision & calculations of P&L and total commissions received upon market close.
- Assisted Canadian trader to resolve complex exceptions/rejection reports received from our AOP system.
- Resolved trade breaks/ inquiry wires and ensure accurate allocations of overnight trades before market opening.
- Created eighteen new operation trade manuals for Confidential Swiss Bank, Geneva Switzerland equity trading desk.
- Supervised/Oversaw the trade operations desk to ensure success of project by deadline.
- Assisted in reconciliation/resolving complex high risk, aged breaks for the Swiss bank.
- Responsible for responding to price challenges & inquires received on our MRA system.
- Researched all price challenges received same day using Bloomberg, ILX and communicating with OTC traders.
- Main contact to our agency brokers to resolve challenged/unfilled agency trades when Confidential was not a market maker.
- Responded to failed market orders, DK (Don’t Know) Trades. Research (T&M) Time & sales data using Bloomberg/ILX data.
- Calculated price differences and approve final decision if client is entitled to better fill price. Responsible for the credit back to clients once agreed upon.
- Liaison between OTC/Foreign traders, financial advisors, branch managers & regional managers for the GPC Division.
- Resolved trade breaks before market opening on TSS & HOTS (Trade platforms). Adjusted failed orders for Ex-dividend date.
- Performed account reconciliation & close outs & investigate pending overnight queries. Daily average price calculations & trade allocations.
- Monitored trades on HOTS & TSS trading Platforms. Resolved rejected orders, reject out & confirm-out reports.
- Forced manual execution reports to match both our advanced routing AOP, HOTS & TSS systems. Corrections of order reports, order cancellations.
- Assisted OTC/International Equity traders to resolve complex exceptions/rejection reports received from our AOP system.
- Executed client trade orders for executive corporate stock option accounts. Performed trades for stock appreciation rights and (RSUs) restricted shares and restricted share units. Worked hand in hand with Equity Research specialists, trade capture/trade support to resolve trade disputes.
- Extensive effort to ensure the brokerage account of our client was correctly set up with tax profiles to allow accurate options exercises before expiration.
- Worked with ML trading desks to execute large block orders and ensure all trades were executed accurately.
- Oversaw and ensured accurate trade settlements of cash exercises, limit orders and stock swaps.
- Ensured accurate and prompt DTC/DRS, Fed fund wire transfers, brokerage account liquidations and Journal Entries upon client request.