SUMMARY:

• Proven track record in analyzing and evaluating business needs, and managing staff in the development of financial business applications; ensuring that stakeholder’s expectations are met.
• Customer focused creative problem solver with extensive analytical, technical and leadership experience.
• Skilled in managing technology and non - technology projects from inception to implementation utilizing full Software Development Life Cycle standards. Experienced in project planning, forecasting, reporting, and managing project risks and budget.
• Experienced in managing large and small software development projects on mainframes, distributed systems, and web-based platforms.
• Proven ability to bridge business and IT and lead the development process to deliver working business solutions for back office, middle office, and front office.

PROFESSIONAL EXPERIENCE:

Confidential

Business Analyst, Project Manager

• Documented existing processes and requirements. Produced requirements documents.
• Contributed to and reviewed SOWs for work to be performed.
• Managed the project on the HCR side.
• Manage the testing processes.

Confidential

Project Manager

• Responsible for managing a compliance project within the Global Asset Management group for remediating issues identified by the SEC, Audit, and the business. Implemented changes in the processes and procedures to ensure compliance with all regulatory requirements.
• As part of the Change the Bank initiative responsible for developing a process that aims at tracking and managing operational risks in the bank. As Project Manager drove the project through the design of the new process, running a pilot, and implementing the final process across the firm. This new process enabled the firm to get a holistic view of all operational risk issues in the bank.
• Morgan Stanley: Responsible for analyzing and writing the requirements for implementing self-authorization of checks and ACH within Morgan Stanley for the firm’s cash management product. Worked with operations, technology and vendors to solicit requirements and produce BRD documents.

Confidential

Project Manager

• Manage the software development effort for applications supporting existing and new products for Confidential .
• Implemented multiple compliance mandates such as Financial Advisor Supervision which tracked managed account/portfolio variances and adding the FATCA coding in the account onboarding process.
• Responsible for managing the development effort, QA, UAT and Implementation.
• Responsible for working with business and operations to gathering requirements, analyze needs, and write functional and technical documents leading to the development of new applications.
• Manage the work performed by onshore and offshore resources.

Confidential

Project Manager / Program Manager / Assistant Vice President

• Managed support of the Smith Barney Advisor account maintenance and order entry platform. This non-discretionary managed account product held over $40 billion in assets.
• Implemented a Money Manager Portal that enabled the manager to view the assets in an account by asset class as it relates to the managed model and identified variances from the model. The portal enabled the manager to enter trades that would be sent for execution.
• Responsible for writing FRDs, Technical Documents and proper maintaining of the SDLC process. Coordinated user acceptance testing to ensure quality.
• Managed work performed by offshore developers for various projects in the managed account platform.
• Implemented various Compliance mandates including new alerting processes when account’s assets fall outside the designated plan, alerts for account inactivity, and enhancements to the Order Audit Trails.
• As part of the PMO coordinated the development across three IT groups in the development of a Manager Composite Marketing sheet. This enabled dynamic, on demand, creation of this marketing tool, which prior to this implementation was a manual process that took weeks to create.
• Developed requirements for running the brokerage business at Confidential, after the sale of Smith Barney. Determined systems requirements for the new brokerage platform: created workflow documents, helped in determining vendor platform suitability, and applications that would be required for operations.

Confidential

Project Manager / Senior Group Manager / First Vice President

• Managed multiple teams responsible for application development that supported the company’s cash management investment product called Command.
• Responsible for compiling requirements, analysis, design, and managing the development of applications used by operations, marketing, call centers, fraud control, and the firms clearing arm.
• Managed vendors and all interface systems.
• Designed and managed the development of a dynamic real time system supporting the cash management product . This 18 month, over $2 million, project included software and infrastructure changes and was delivered on time and under budget. New functionality utilizing web services replaced the old CICS system with a new distributed application that was used by operations, call center, and clients.
• Implemented functionality over the internet enabling the client to service their accounts reducing the need to rely on the call center and operations personnel.
• Implemented a KYC system to verify client identity enabling the company to comply with the Patriot Act and identify potential fraud.
• Responsible for analysis, design, and managing the development of call center applications for the parent company, Prudential Insurance. This resulted in better customer service and client satisfaction.
• Managed the development of systems supporting the asset management product marketed by the parent company, Prudential Insurance. This expanded the products sold and retained assets in the firm.
• Implemented applications to enable the trading, and passing of commissions to insurance agents for brokerage products such as of Mutual Funds, CDs and UITs sold at the brokerage firm.

Confidential

Project Leader

Responsibilities:

• Led team of developers that supported various back office reporting applications for multiple departments in the firm. These included Fixed Income, Institutional Sales, Branch Support, Compliance, and New Accounts.
• Designed an application that creates customized client account documents. This enabled customized documents to be dynamically created during the account opening process.
• Managed the development of a firm trade history repository used for various reporting, tracking client trades, and Blue Sheet compliance reporting to the SEC and the exchanges.