SUMMARY

Project Manager/Business Analyst, with more than 20 years experience in the financial services industry, with full understanding of the trading order management life cycle (front office through settlement), Merger Integrations and many types of project management disciples’ including SDLC, Six Sigma and Agile. Initially was responsible for measuring the profitability of financial products (Commodities, Fixed Income, Equity, and a wide range of derivative products). This built a foundation which enabled me to deliver technology solutions in the Front, Middle and Back-Office, in some of Wall Streets most prestigious firms, over the past 10 years.

CORPORATE ACCOMPLISHMENTS

• By developing an alternative action plan for all critical functions, was able to successfully complete my project on time and within the allotted budget; the remaining 11 teams were delayed up six months for NOT properly mitigating their risk. Savings to client: $1,625,000
• With the use of advanced functionality of Excel (VBA/Macros, Vlookup and linking tables), was able to reduce the work-week, from 65 to 35 hours per week, thus allowing for more responsibility. Saving to client: $75,000
• With the use of Excel Macros, was able to reduce month-end process times from four weeks to 30 seconds, reduce error processing to less than 1%, thus reducing headcount from 5 to 1 professional. Saving to client: $150,000
• Conducted audit of Specialist and Two Dollar Brokers, on the New York Stock Exchange and was able to save the client $7,000,000 in overcharges.
• By instituting new policy (Car Service to the 5 borough after 8:00 PM; final destination after 10:00 PM) and centralizing firm wide black car service, was able to save the client $9,000,000 on an annualized basis. A $3,5000,000 saving was realized by disallowing employees to order car service 30 minutes before the 8PM requirement.

FINANCIAL PRODUCTS: Equity:

• Exchange Traded Equities and Options, in 40+ countries, American Depository Receipts (ADR), Contract for Different (CFD), International Order Book (IOB) and Global Depository Receipts (GDR), Index Futures, Options on Index Futures. Fixed Income: Treasury (Bonds, Notes, Bill), Mortgaged Backed Securities (MBS), Commercial Mortgaged Backed Securities (CMBS), Mortgage Revenue Bonds (MRB – Municipal Bonds), Discount Multifamily (DMBS), Real Estate Mortgage Investment Conduit (REMIC – aka Collateralized Mortgage Obligation (CMO)), Mega Pools (MEGA), Whole Loans, Swap/DWAC (Deposit/Withdrawal at Custodian), Insurance Wrap (Credit Derivative), Asset Backed Securities (ABS), MBS Futures, Options on MBS, Whole Loans, Interest Only (IO), Principal Only (PO), Interest Rate Derivatives (Caps, Collar, Floors), Municipal Bonds, Corporate Bonds, Junk Bonds, Commercial Paper, Credit Hedges, and Convertible Bonds. Banking Products: Commercial Loans, Trade Finance (Letters of Credit) Insurance Products: Guaranteed Investment Contracts (GIC) and Synthetic GIC.

ACCOUNTING DISCIPLINES: FASB 91 (Amortization), FASB 140 (Re-Securitizations), FASB 115 (Mark-to-Market & Impairment), FASB 133 (Securities Accounting), FASB 65 (LOCOM – lower cost or market), FIN 46 (Security Consolidation), Financial/Accounting Re-Statement, Security Cost Basis and Tax Lot Accounting.

DISCIPLINES:

• Project Management, Business Analysis, Functional Architecture, Process Analysis, Process Reengineering, Re-Securitization. (Conversion of MBS pass-though pools into: REMIC/CMO) Data Mapping, Data Modeling, Accounting (Trade & Settlement Date Daily P&L), Reference Data, Expense Management, Change Management, Market Data, Data Analysis Trainer, Requirements Gathering, Functional Specification Design, Testing (Test Cases/ Test Scripts) (Manual Testing & Automated Testing tools), Quality Assurance (QA), Documenting Process Flow, Re-Valuation (Pricing / Mark to Market/ Transfer Pricing), Business Modeling, Data modeling, Process Mapping, Custody (Global and International), Mutual Funds (12b-1 Processing) and Consolidation of Systems (Merger Related), Business Contingency/ Business Continuity Planning (BCP), Disaster Recovery (DR), GAP Analysis, Prime Brokerage, Software Development Life Cycle (SDLC) and Merger Experience (JP Morgan and Chase; Dain Rauscher and Royal Bank of Canada (RBC); JP Morgan Chase and Bank One). Consolidation of Income Statements, Balance Sheets, Chart of Accounts (COA) and Financial Products Management, for the JP Morgan and Chase Merger.

COMPUTER SOFTWARE (User):

• Excel, Excel Macros, MS Word, MS Windows, XP, MS Access, MS Project, CA Clarity, SQL, UML, DB-Visualizer, Mercury Quality Center (Test Director), ClearQuest (Rational), BusinessObjects (BOXI) Use Cases, HTML, FrontPage 2003, Microsoft Project 98, Microsoft Project 2003, Microsoft Sharepoint, Project Workbench, On-Time, Power Point, Lotus 1-2-3, Lotus Notes, Accounting Plus, Word Perfect, Phase3, Spreadlyze, McCormick & Dodge - CTS Millennium General Ledger, Futrack, Globeman, Tadia, Computer Associates (CA) Fixed Assets, Novell, SQL, & Visio.

VENDOR PRODUCTS:

• MarkitWire (also known as Markit Wire, Swapswire or Markit-Serv), Broadridge /Automated Data Processing (ADP) (BIS, BPS/BPSA, Cage III, Impact, MBS Expert), Aurora (ION/WinFITS), Kestrel (RAPTr and Karousel), SUNGARD: Global Plus, Martini, Brass (Brokerage Real Time Application Support System), Brut (Order Management), and Phase3

FINANCIAL SERVICES DISCIPLINES:

• Front Office Trading, Broker/Dealer (Sell Side), Investment Management (Buy Side), Treasury (AFS- Available for Sale), Capital Markets, & Commercial Banking.

TECHNICAL SKILLS

• Excel (Excel Macros, Vlookup, Pivot tables, Concatenate, and Data Analysis Management/Cleansing Skills), MS Access, SQL Queries.

COMMUNITY SERVICE

• Manhattan Society: the junior volunteer committee of the New York City Chapter of the National Multiple Sclerosis Society, 10 years of service; 2 Executive Board Memberships

EDUCATION –

• B.S., Business Administration