SUMMARY:

• SQL hedge resourceful communicor nfa cftc sec finra derivatives options commodities special projects Geneva advent portfolio CRD
• Driven, highly accomplished and adaptable program leader and business analyst wif 20+ years, delivering oversight in compliance, risk assessments, controls, project management and process improvement, particularly in financial services and technology related fields.
• Proven track record designing TEMPeffective solutions to complex problems.
• Tenacious problem solver and solution seeker unafraid to perform hands on, detailed work to get the job done.
• Strategic thinker and decision maker comfortable wif ambiguity, diverse responsibilities, and changing priorities.
• Recognized as agile key team member who easily assumes leadership roles, quickly gains expertise, builds consensus, educates, and motivates individuals and groups to be top performing and to drive projects to completion.

CORE SKILlS

• Leadership
• Critical Thinking
• Problem Solving
• Relationship Building
• Comfortable working wif data
• Comfortable wif technology
• Familiar wif database concepts
• Flexible
• Focused
• System Implementation & Integrations
• Process Analysis
• Active Listening
• Teamwork
• Vendor Management
• TEMPEffective Negotiations
• Regulatory Compliance
• Financial Industry
• Trade Workflow
• Trade Surveillance
• Controls Review
• Compliance Testing

PROFESSIONAL EXPERIENCE:

Consultant

Confidential, Darien, CT

Responsibilities:

• Independent consultant engaged to provide project management, implementation services and application support to financial services clients.
• Primarily engaged wif newly launched RIA network leading technology implementations.
• Navigate complex matrix organization to identify contacts, resources, and decision makers.
• Analyze FIX connection requirements between custodians and third - party rebalancing tools.
• Review and coordinate data integration requirements for performance reporting, CRM, and compensation solutions.
• Negotiate wif vendors regarding customizations and system enhancements to meet client needs.

Infrastructure Program/Project Management Leadership

Confidential, New York, NY

Responsibilities:

• Partnered wif the Head of Infrastructure Technology developing narrative to communicate technical concepts to business leaders.
• Improved IT hygiene resolution through process development, resource allocation, accountability, and escalation.
• Supervised end-user applications testing for a Windows 10 migration.
• Successfully managed roll out of a phone conferencing and mobile communications solution impacting approximately 350 end users.

Compliance Associate

Confidential,New York, NY

Responsibilities:

• Developed, executed, and documented tests designed to confirm adherence to Rule 206(4)-7, the firm’s Code of Ethics, compliance protocols and other internal policies and regulatory rules and to support the Firm’s Surveillance and Monitoring Program.
• Conducted regular audits of operational controls and adapted controls, tests, and surveillance report logic to address business, legal and regulatory changes and mitigate risks.
• Implemented Actimize electronic trade surveillance solution to improve market abuse and market manipulation testing, including:
• Served as compliance project leader partnered wif IT on all aspects of implementation.
• Developed business and functional requirements.
• Defined and validated internal data values, identified sources, data feed timing and process validation, and led data normalization efforts.
• Validated deployed models.
• Procured market and alternative data, including contract negotiations, integration analysis, and testing.
• Conducted new hire and annual compliance .
• Managed Restricted and Watch List in Charles River; researched direct and indirect holdings and recent transactions.
• Monitored position limits in Consensys, including verification of data feeds and accuracy of fund structures.

Information Security Administrator

Confidential, New York, NY

Responsibilities:

• Conducted regular evaluations of IT and operational processes.
• Operationalized controls and completed two successful Statement on Auditing Standards (SAS) 70 reviews.
• Created the firm’s first formal change management procedures and annual controls for IT staff.
• Managed and strengtaned access controls for the Firm’s proprietary systems and information.

Vice President, Solution Delivery

Confidentia, Little Falls, NJ

Responsibilities:

• Led the full cycle for client technology projects.
• Managed project teams of developers and pre-sales support staff.
• Analyzed data to support data normalization for integration projects.
• Developed and maintained strong relationships wif clients.
• Recipient of Employee of the Year reward and annual of Excellence.

Business Support Analyst, PWM Technology

Confidential, New York, NY

Responsibilities:

• Worked wif a high-level of autonomy, representing the department in cross functional meetings.
• Managed a $50M annual budget and analyzed actual spending to forecast future expenditures.
• Provided project status and cost trends to support finance, planning, recruitment, and HR issue resolution.
• Created comprehensive financial reports senior management.

Controller

Confidential,Paterson, NJ

Responsibilities:

• Supervised financial procedures and reporting at a national construction brokerage firm through period of rapid growth.
• Implemented billing and payment systems and procedures to increase accuracy and efficiency.
• Analyzed costs, spending, and revenue trends, producing forecasts for future spending.

TECHNICAL SKILLS:

Microsoft Office (Word, Intermediate Excel, PowerPoint, Outlook) / Consensys / Charles River / Bloomberg / Actimize / Smartsheet / Simple SQL queries / Compliance Accelerator / Discovery Accelerator