Summary

Strong project and program management experienced in driving business aligned objectives including operational efficiencies, team building, mentoring, budgeting, formal project planning and account management. Experience with capital markets programs around strategy, business process improvement, custom development and vendor package implementations. Partner to senior C-level executives helping to set strategic direction, identify key objectives, manage expectations and mitigate risk. Introduced various PMO infrastructures covering multiple projects across the entire trade lifecycle. Lead teams in excess of 40 individuals across the entire software development lifecycle. Well versed in various asset classes across front, middle, risk and back office functions. Very hands on and driven to meeting and exceeding expectations.

Domain Experience

• Front, middle and back office experience across trade capture, market data, curve construction, volatilities, compliance, limits, counterparty credit, pricing & valuation, trade validation & enrichment, P&L attribution, allocations, confirmations, settlement & clearing, accounting, G/L, reconciliation and documentation. Financial Instruments including bonds, futures, equities, FX, IRS, CDS, CDOs, Options, exotics, etc. Market, credit & operational risk management, sensitivities, hedge analysis, historical, variance / co-variance and Monte Carlo Value at Risk.

Technical Experience

• Full software development life cycle experience, source code management, overnight batch processing, internal controls and external regulatory and compliance including SOX, AML, etc. Experience with program management, vendor management, requirements analysis, testing and production release. Major data vendors including Bloomberg, Reuters, Markit and Super Derivatives. Data Warehousing, Security Master, real time pricing, Tiibco & MQ messaging. Leading Derivative and Capital market Systems including Murex, Calypso, Sungard Front Arena and Sophis. Workflow, Unix, NT/Windows, AIX operating environments. Oracle, Sybase and MS SQL database platforms. Microsoft Project and Office suite.

Professional Experience

Confidential, Director, Redding CT 5/09 to Present
Independently owned and operated consulting firm focused on capital markets.

• Project Management Project: Engaged to manage a team of eight consultants in the definition and design of a Prime Brokerage high frequency equity trading platform for a major Japanese bank. The platform included the identification of a new EMS/OMS, Swaps trading, reporting and equity finance solution.

Confidential, Senior Managing Consultant, New York, NY 5/06 to 4/09
As a senior member of the trade solutions practice, responsible for leading capital markets engagements around front to back trade capture and processing of derivative instruments to buy and sell side firms. Specific focus on program and project management and operational process efficiency involved with the implementation of leading vendor packages covering trading, compliance, order management, trade processing, risk management, accounting and product control. Representative engagements include:

• PMO Strategy Project: Lead strategic engagement to restructure project oversight and introduce a PMO charged with project prioritization and project monitoring for National Credit Bank, Saudi Arabia.
• PMO Divestiture Program: Lead a PMO responsible for coordination of multiple disciplines in the divestiture of a broker dealer for BNYM. Responsibilities spanned legal, finance, HR, technology, accounting, tax, operations and sales.
• Asset Servicing Re-design: Program managed an engagement to evaluate and re-architect processes & technology to support Northern Trust asset servicing operation.
• Vendor Selection Project: Managed a team tasked with the identification and evaluation of various fixed income derivative trading platforms for the Depository Trust and Clearing Corporation as part of their fixed income payments services. Project involved documenting business and technical requirements, development and issuance of a RFI and RFP to suitable vendors and the subsequent evaluation of the responses.
• Buy Side Process and technology Re-design: Senior project manager for UBS GLAM focused on identification of middle to back office solution for processing from a buy side Investment manager perspective. Evaluated and documented processes flows and technologies representing current state. Proposed potential vendors and processes changes as part of a future state solution.
• Hedge Fund Services Process & Technology Design: Senior project manager focused on traditional custody bank challenges to process derivatives with a legacy fixed income and equity platform. Conducted extensive interviews with Northern Trust line managers to develop problem statement. Delivered application inventory and future state / end to end solution recommendations and project roadmap for multi-year phased implementation.
• Murex partnership: Participated as part of an IBM/Murex partnership and completed the Murex implementation certification program. Participated in Murex upgrades for hedge fund clients, Caxton and SAC.
• Assisted in the sales of various consulting services centered around Murex support opportunities
• Developed various consulting assets across sales and delivery of package implementation services.

Confidential., Director, Program Management, New York, NY 5/02 to 4/06
Ran a PMO for the Global Credit Derivatives development initiative. Managed a team of 40+ business resources, developers, business analysts, project managers. in the implementation and integration of a customized software solution with various legacy applications across multiple geographies including NY, London, Tokyo and Emerging Markets utilizing the Calypso vendor package. Establish project plans and tollgates and responsible to end users and senior business sponsors.

• Lead periodic steering, program, project and ancillary group meetings to resolve issues and mitigate identified risk to progress the program objectives across multiple geographies.
• Coordinated and communicated the strategic and tactical goals of the project across development, trading, operations, market and credit risk, accounting and product control and audit.
• Established a formal project management structure to improve project discipline, accountability and transparency through weekly reporting, expectations management and periodic senior management communications.
• Responsible for overseeing credit derivatives technology internal controls and SOX compliance.
• Extensive formal project management experience around credit, fixed income and risk management of derivative products.

Confidential– Project Risk Review
Responsible to Board of Directors to oversee and report on project risk for major initiatives within the Derivatives businesses. Worked closely with senior technologist and business representatives responsible for the project delivery. Brought considerable front, middle and back office project experience within derivatives and fixed income products as well as risk management to Project Risk Review.

• Responsible for the oversight of various projects including the implementation and development of the Calypso credit derivatives system, the creation of a new in-house electricity and natural gas trading desk, a global loan portfolio optimization project, a treasury general ledger application, etc.
• Provided best practice solutions to various challenges during project lifecycle.
• Authored a white paper on Cititech’s Mystic Project Management Portal.

Confidential, Director, Financial Services, New York, NY 5/00 to 7/01
Responsible for account management and delivery of internet application development and consulting services to Fortune 500 financial services firms.

• Managed client expectations and relationship with C level executives from major Wall Street firms in the delivery of various client facing initiatives.
• Successfully delivered $3 million web development project consisting of 25 developers.
• Strong understanding of iterative internet development lifecycle.

Confidential., Manager, Capital Markets Risk Practice, New York, NY 06/97 to 4/00
Successfully provided project management for the development and implementation of enterprise solutions to a wide variety of capital markets fixed income functions including front office trading, middle office risk and back office clearing, settlement and reporting. Acted as the prime liaison between IT and the line of business translating business needs into system and process improvements.

• Managed teams of 10 – 15 consultants in various derivatives engagements including the implementation of a real time risk system, buy vs. build analysis, due diligence for a vendor acquisition strategy.
• Reviewed a bank’s derivatives trading and risk management polices, procedures and technology and provided best practices and suggested remediation.
• Developed business and functional specifications for numerous risk system developments and implementations
• Added to the firm’s intellectual capital by authoring internal articles on Risk Technology, arranging for ongoing technology education through vendor presentations and the development of a technology focused Capital Markets’ resource library

Confidential., Director, Palo Alto, CA 06/91 to 05/97
Japan Client Support Director, Firm-Wide Risk Management 
Responsible for all project activity related to the firm’s new integrated Market and Credit Risk systems, including managing the first multi-site installation of a firm-wide Risk Management solution for major International Bank, resulting in the production of daily “Value at Risk” calculations for all global sites.

• Worked closely with the systems integration firm responsible for the bridging of multiple legacy systems
• Introduced a project management program for future implementations
• Trained five new staff members on supporting firm-wide Risk Management and Derivatives trading systems

Quality Manager and Financial Testing Engineer 
Managed a group of five responsible for product quality. Produced various metrics designed to improve process and project management. Developed automated environment for regression and acceptance testing. Established baseline upon which to build coverage metrics. Developed test plans for verifying financial and numerical accuracy of new derivative product offerings.

Confidential., Institutional Sales, New York, NY 1989 to 1990

Confidential., Partner, San Francisco, CA 1986 to 1987

Confidential, Jr. Economist, Tokyo, Japan 1984 to 1985

Education

• Confidential University Stern School of Business MBA– International Finance
• Confidential College BA – Economics