SUMMARY:

• Results - oriented leader with nearly 20 years of financial services experience including nearly 17 years of excellent project leadership along with nearly 5 years of operations experience in Trust and Wealth Management services with a track record for success.
• A highly motivated, self-starting, high performer who troubleshoots quickly, communicates effectively to customers, and correctly identifies the top priority in dynamic environments.
• Project Management
• Excellent Time Management
• Analytical
• Business Expertise
• Leadership Skills
• Results Oriented
• Problem Solving
• Communicates Effectively
• Highly Motivated
• Strategic Thinker
• Meeting Deadlines
• Self-Disciplined
• Presentation Skills
• Detail Oriented
• Team Player
• Management Skills
• Mergers and Acquisitions
• Web Development

• Database Management
• Takes Initiative
• Organizational Abilities
• Integration Experience
• Business Analysis

Confidential

IT Consultant

Irvine, CA

• Completed various IT contract assignments with various IT contracting agencies and also operated under my own independent S-Corporation where I specialize in Project Management and Business Analysis work particularly in the Financial Services industry.

IT Integrations Business Analyst

• A member of the IT Integrations Team responsible for multiple projects to onboard Clark Capital’s Turnkey Asset Management Program onto the AssetMark Platform, implement multiple reporting improvements for AssetMark’s High Net Worth clients, and analyze AssetMark’s transition to a new portfolio accounting trading platform.

• Collaborated and implemented the setup of Clark Capital’s Personalized Unified Managed Account models on the AssetMark Platform along with all the necessary data attributes
• Automated client-directed activity, new account notification, and systematic withdrawal reporting solutions for Clark Capital to enable potential automation at Portfolio Pathway, Clark Capital’s portfolio accounting platform provider

High Net Worth Program

• Analyzed and documented third-party manager communication and reporting processes and implemented automated reporting solutions
• Collaborated with City National Rochdale and Clark Capital to understand business improvements and implemented key solutions to streamline processing

MyVest Program

• Documented key overnight system processes for gain/loss, transactions, and model change history data in preparation for a large-scale data conversion effort to a new portfolio accounting trading platform
• Analyzed and documented AssetMark’s eWealthManager website and provided data requirements to MyVest for delivery of a web service solution

Senior Business Systems Analyst 

• Senior Business Systems Analyst responsible for the Client Service Plan workstream for the PCSCentral Realignment project along with Production Support responsibilities for the PCSCentral Salesforce.com application.

PROJECTS COMPLETED:

PSCCentral Realignment

• Gathered business requirements from the Private Client Services line of business and documented acceptance criteria, workflow diagrams, and test cases for user stories in a Scrum Project Methodology.
• Engaged Riva CRM Integration, a third-party web services solution which synchronizes data between Microsoft Exchange and Salesforce.com, to implement a widespread Private Client Services solution for synchronizing emails, events, and contacts to and from PCSCentral for Investment Counselors and their respective teams.

IT Business Analyst 

• Senior Business Analyst responsible for upgrading the Sponsored Projects Accounting department’s Contracts and Grants Billing accounting system using the Kuali Coeus open-source technology platform.

PROJECTS COMPLETED:

SPA Legacy Data Migration

• Extracted all necessary data points from the legacy billing system in a .csv format used as a data source for producing and scrubbing eight critical input files utilized by the Extract, Transform, and Load (ETL) process
• Performed multiple tasks including analyzing the KFS data architecture, mapping legacy data into the new architecture, interviewing key stakeholders, drafting documentation for development, and quality assurance testing

SPA CGB Roles and Permissions

• Analyzed and implemented various roles and permissions to control proper use of the CGB system by end users in the Sponsored Projects Accounting department

SPA CGB Invoices

• Modified the CGB invoice process to properly post general ledger entries and quality assurance tested the end to end CGB invoice process
• Performed multiple tasks including analyzing the general ledger entry process, completed requirements documentation, interacted with development to implement changes, and quality assurance testing

State Street Investment Manager 

Irvine, CA

• State Street’s singular focus on serving the needs of institutional investors is one of its key competitive differentiators. State Street is an industry leader and innovator — setting standards with new products and services, and expanding the depth and breadth of client relationships.

Implementation Analyst

• A member of the IMS Implementation team for OTC Derivatives reporting directly to the Implementation Manager and Vice President at State Street Investment Manager Solutions. Core department goals included onboarding buy-side capital management companies’ OTC Derivative book of business onto State Street’s OTC Hub application and ancillary applications. Key responsibilities included interviewing key business stakeholders, gathering requirements, documenting business requirements, documenting quality assurance test cases, documenting user acceptance test cases, communicating system changes to global development teams, and testing system changes utilizing an iterative Agile project methodology.

PROJECTS COMPLETED:

Babson Trade Notifications

• Trade Notifications for OTC Derivative transactions are distributed to counterparties and interested intermediaries from State Street’s proprietary OTC Hub application for Babson Capital Management which includes all key information about the OTC Derivative transactions
• Analyzed and mapped FpML messages for multiple OTC Derivative products that fall under the interest rate swap, credit default swap, and cross-currency product categories into the OTC Hub Trade Notification template

Wellington Trade Notifications

• Trade Notifications for OTC Derivative transactions are distributed to counterparties and interested intermediaries from State Street’s proprietary OTC Hub application for Wellington Capital Management which includes all key information about the OTC Derivative transactions
• Analyzed and mapped FpML messages for multiple OTC Derivative products that fall under the interest rate swap, credit default swap, and cross-currency product categories into the OTC Hub Trade Notification template

Clearing Counterparty

• Clearing Counterparty was a comprehensive effort requiring numerous stakeholders from several different functional areas in an effort to modify the OTC Derivatives process to including central clearing as mandated by the Dodd-Frank legislation
• Performed multiple tasks including implementing OTC Derivative pricing files from Global Clearers CME, LCH, and ICE; implementing variation margin files from Futures Commission Merchants JP Morgan, Goldman Sachs, Morgan Stanley, Deutsche Bank, and State Street Global Markets; implementing Price Alignment Interest files from Thomson Reuters; and quality assurance testing variation margin processes

Babson Capital Implementation

• State Street Investment Manager Solutions, LLC specializes in onboarding buy-side firms onto the OTC Hub platform for OTC Derivatives recordkeeping which also included onboarding Babson Capital Management announced on September 28, 2010
• Reconciled Babson Capital onboarding data including trade, position, and notional values via MS Excel vlookups

Pleasant Hill, CA

• Genworth Financial, Inc. (NYSE: GNW) is a leading Fortune 500 global financial security company whose products and services help meet the investment, protection, retirement and lifestyle needs of more than 15 million customers.

Program Manager 

• Senior leader as part of the IT Management Team reporting directly to the Chief Information Officer in a functional-unit support structure where I supported the Billing and Finance Operations Teams at Genworth Financial Wealth Management.
• Core responsibilities included working directly with the Chief Financial Officer and Chief Operations Officer to develop a
• portfolio of project initiatives, approving project scope, developing the project schedule, gathering project requirements, documenting requirement specifications, documenting use cases, preparing workflow analysis documents, analyzing project risks, managing project teams, documenting user acceptance test cases, reporting project status to the Executive team, conducting meetings with business stakeholders, proposing optimal IT solutions, managing business user expectations, addressing critical production issues in a timely manner, completing small projects critical to addressing immediate business needs, and miscellaneous duties including quality assurance, user acceptance testing, and business reporting.

PROJECTS COMPLETED:

Client and Account Migration

• Migrated $7.5 billion in assets under management from Genworth Financial Trust Company to a single Genworth Financial Wealth Management platform

Fee Schedule Migration

• Migrated the fee schedules from Genworth Financial Trust Company to the Genworth Financial Wealth Management platform for approximately 42,000 client accounts

GFAM Account Hosting Phase II

• Modified the Genworth Financial Wealth Management billing system to account for the migration of $7.5 billion in assets under management from Genworth Financial Trust Company

Sales Consultant Compensation

• Created a new database structure and a new web-interface application to calculate compensation for the Genworth Financial Wealth Management Sales Team

Small to Midsized Projects completed in addition to the strategic level projects above

• Completed 224 small to midsized projects from January 2009 to May 2010 including 79 integration projects
• Included in the 224 projects noted above, I developed 101 business reports using Microsoft SQL Query Analyzer 2000

Project Manager 

• Senior Project Manager on the IT Project Management Team reporting directly to the Project Management Director in an application support structure that supported the core accounting system at Genworth Financial Wealth Management.

PROJECTS COMPLETED:

New Account Activation Redesign

• Streamlined the existing New Account Activation process which creates account, client, and registration records on the core accounting system when submitted by financial advisors through the Genworth Financial Wealth Management website

GFAM Account Hosting Phase I

• Modified the Genworth Financial Wealth Management billing system to support the Genworth Financial Asset Management products on a single platform

Trade Log Automation

• Created an automated process using set business rules to mark trading activity as billable or non-billable transactions

Small to Midsized Projects completed in addition to the strategic level projects above

• Completed 44 small to midsized projects from June 2008 to January 2009 including 7 integration projects

Business Analyst 

• Senior Business Analyst on the IT Project Management Team reporting directly to the Project Management Director in an application support structure that supported the core accounting system at Genworth Financial Wealth Management.

PROJECTS COMPLETED:

GFTC Launch

• Launched the Genworth Financial Trust Company as a new custodial option on the AssetMark Investment Services website platform

Billing Security

• Launched a new security system on the core accounting system for AssetMark Investment Services

Region Ownership Changes

• Re-architected the core accounting system to accommodate a change in Sales Force Structure for AssetMark Investment Services

Small to Midsized Projects completed in addition to the strategic level projects above

• Completed 76 small to midsized projects from December 2005 to June 2008 including 3 integration projects

Business Systems Analyst

Walnut Creek, CA

• The PMI Group, Inc. (NYSE: PMI), headquartered in Walnut Creek, CA, provides credit enhancement solutions that expand homeownership and offers residential mortgage insurance and credit enhancement products.

Business Systems Analyst

 Atlanta, GA

• SunTrust Banks, Inc., is one of the nation’s largest and strongest financial holding companies. Through its banking subsidiaries, the company provides deposit, credit, trust, and investment services to a broad range of retail, business, and institutional clients.

Business Systems Analyst II

• A member of the Information Technology department for the Private Client Services Group supporting the Securities Operations departments. Core responsibilities included managing strategic projects, analyzing production issues, analyzing business problems, providing alternative solutions to current processes using technology, interacting with a service bureau providing trust accounting services, testing service bureau enhancements to the trust accounting system, and supporting end-users with new system changes.

PROJECTS COMPLETED:

National Financial Services Conversion

• Converted nearly 2,500 third party mutual fund holdings from National Financial Services Corporation to Matrix Settlement and Clearance

Securities Processing Specialist IV 

• Team Leader on the Private Client Services Operations team.
• Knowledgeable of all department procedures that allowed for proper unit coverage for absent co-workers in the STI Classic Mutual Funds, Cash Sweep, and Voluntary Corporate Actions departments.
• Assumed additional responsibilities by taking on special project assignments within Securities Services that included analyzing the task, developing an action plan, and implementing the plan to an appropriate business solution.

Securities Processing Specialist III 

• A member of the STI Classic Proprietary Mutual Funds team, and responsible for posting the morning trade settlement file to AMTrust, the trust accounting system, and placed trades at the transfer agent originating from the afternoon trading file for the STI Classic Mutual Funds.
• Assumed additional responsibilities by cross-training at all processor positions in the STI Classic Mutual Funds and Cash Sweep departments and updated the department desk procedures manual.

Securities Processing Specialist II 

• A member of the Third Party Mutual Funds Dividends team, and primarily responsible for the collection and posting of mutual fund dividend payments to trust accounts. Allocated and posted cash and reinvested dividends for individual, omnibus, and sensitive accounts to AMTrust through an internal database application for third party mutual fund holdings. Assumed additional responsibilities by cross-training in different areas within the Third Party Mutual Funds department including Transfers and served as a backup trader for the Unit Investment Trust Trading Desk.

Corporate Trust Reconciliation Specialist

Atlanta, GA

• Reliance Trust Company is a privately owned investment manager.
• The firm also provides wealth management services and personal advisory services; trust and fiduciary services; insurance; financial, estate, and tax planning; church and non-profit organization services; and outsourcing services to financial intermediaries.

Corporate Trust Reconciliation Specialist

Responsibilities:

• A member of the Corporate Trust Operations department, and primarily responsible for the reconciliation of corporate, municipal, and church bond accounts daily.
• Interacted with administrators, liaisons, and customer service representatives to resolve transaction exceptions.
• Assumed additional responsibilities by taking over the reconciliation of fee billings and collections to the general ledger twice a month and produced remittance reports of fee sharing with alliance accounts for the Executive team.

TECHNICAL EXPERTISE:Computer Skills: Microsoft Office Suite Word, Excel, PowerPoint, Visio, Outlook, Project

Project Tracking/Reporting Systems: Team Foundation Systems, Visual Studio, SharePoint, Reporting Services, Test Director, MS Visual Source Safe Shadow, WebEx, DevTrack, Adobe Acrobat, GroupWise, Sametime, SAP Business Objects IX, MetaCenter 3.10.4, HP Quality Center

Database Skills: MS Access, MS SQL Server 2000, MS SQL Server 2005, MS SQL Server 2008 R2, MS SQL Server 2012, Oracle 8.0i, MySQL Workbench 5.2, Oracle SQL Developer 4.0.2

Trust Accounting Systems: AMTrust, SEI, TNET, Bondmaster

Financial Industry Systems: Bloomberg, Depository Trust Clearing Corporation, National Financial Services Corporation, Matrix Settlement and Clearance Corporation, Advent, Exporter, TSO, IBM AS400, Peoplesoft, SaleForce.com, Siebel, Oracle Financials 11i

Statistical Software: JMP Pro 9, EViews 7.2