SUMMARY:

• Senior Business Analyst / Project Manager / Subject Matter Expert with extensive experience in Equities, Fixed Income, and Derivative securities; Possesses granular knowledge and expertise include Front, Middle, and Back Office Operations. Has in - depth experience in data workflow tools and processes. Possesses strong systems analysis;, design; testing and scripting experience; Client facing requirements gathering between stakeholders (Traders, Business Unit Leaders, and Technology) for content, functionality and continuity throughout the product and process development lifecycles, SDLC (Waterfall & AGILE) methodologies
• Expert in all phases for the development lifecycle from project initiation to systems analysis, design, build & development, testing and deployment. Additional areas of expertise: Trading (Equity, Fixed Income, MBS/TBA’s, CMO’s, Derivatives, FX), Clearing & Settlement, Allocations / Pool Information, Cash Management Compliance, Risk Management, P&L, Trial Balance, Trust & Brokerage Accounting, Securities Lending & Finance.

PROFESSIONAL EXPERIENCE:

Confidential

Sr. BA Data / Market Data

Responsibilities:

• Customer facing platforms; Implement a single source of data for all ETRADE platforms Website. The objective is to enable the Centralized Security Master file (CSM) to become the “Golden Copy” for Data distribution for all ETRADE platforms. Having a singular normalized data distribution platform will allow for consistent data to be disseminated throughout ETRADE, benefiting all end users to see accurate & consistent fundamental data. Identify required data static fields by asset class, and event driven fields as received from multiple market data vendors. Establish primary & secondary vendor for CSM population for business continuity;

Confidential

Project Manager / Sr. BA Regulatory Reporting Technology

Responsibilities:

• Establishment of Data warehouse for storage and retention of all “GTR” stored attributes, values and messages (ACK, NACK, WACK) for Dodd Frank CFTC, EMIR Delegated Reporting, Volcker matrices and other jurisdiction regulatory requirement in accordance with Compliance Programs, Policies, and additional program requirements;

Confidential

Project Manager / Sr.BA Consultant

Responsibilities:

• Compiled and documented key existing processes, policies and procedures and internal controls within TD Securities for compliance with “Volcker Rule”; Identified roles of TD Securities groups (Market Risk Control, Trading Risk Services, Operations, Credit Risk Management, Technology, Compliance, Audit, Legal, Finance, Trading Business Management, and Business) for: Quantitative Measurements, Documented Internal Policies and Procedures, Internal Controls, Responsibility and Accountability, Independent Testing, . and Reporting and ongoing Analysis; Defined in the BRD the Volcker Regulatory Requirements; Documented Quantitative Measurements, Internal Policies and Procedures for the identification of trading units, missions and strategies, identification of permitted and prohibited proprietary trading, source systems and Trader Mandates. Description of risk management process, hedging policies and procedures, explanation of compliance, and remediation of violations; Documented within internal controls current authorized risks, instruments and products. Worked with Market Risk Control for analysis and quantitative measurements monitoring and assist in identification of proprietary trading. Volcker exempt Government securities
• Conducted weekly status meetings; Reviewed dashboard updates; Wrote BRD for compliance internal controls and surveillance; BRD included all regulatory requirements, and guidance (Davis Polk). Documented hedging policies and procedures to the manner in which the instruments, techniques, and strategies to be used to hedge the risk of positions or portfolios. Documented all artifacts in the BRD, and created Volcker SharePoint site for retention; Created Rules Interpretation and Business Impacts Dodd-Frank (RIBID) for the Volcker Rule stream - Prohibitions and Restrictions on Proprietary Trading; identified reporting requirements under FACTA. Reviewed CRM, Onboarding, AML, and KYC policies processes and procedures for CE (Continuing ) regulatory requirements;

Confidential

Project Manager./Sr.BA Consultant

Responsibilities:

• Redefined, Asset & Liabiliies categories and guidelines for monthly Global Reconciliation for USD, and Can $, and security positions; Creation of all templates for: Banks (12), Accounts (150+), & Investment Broker Dealers / Dividend Re-Investment 26) Accounts (60+)for monthly trial balance and Call Reporting. Automated current process with system generated output. Currency Conversions to USD base CCY; Identify all AST systems, departmental processes & functions; Created Data Aggregator Repository for transparency and version control; Centralized view for process and policies change management; Create Excel formatted templates ; Import FTP files from all Banks, and General Ledger extracts into Frontier; Create Monthly Global Reconciliation / Monthly Trial Balance; Cash available for funding of outstanding checks; Formalize monthly Bank Reconciliations; BRD / FRD matching reconciliation
• Escheatment to ACS; Bank Reconciliations to Chase, Wachovia, and Confidential
• Designed currency conversion template and matching criteria to Sovereign Santander CCY Accounts; Revised Cash Control process and investment liquidity processes for AST Treasury and Investment division; Re-engineered all Dividend Reinvestment Departmental processing; created departmental Visio workbook, identifying process to corresponding system input, output, and MIS reporting.

Confidential

Sr. BA / Business Architect / Project Mgr Consultant

Responsibilities:

• Involved in Requirements gathering, Analysis and Documentation of client facing processes and procedures; supporting the development of Spier Consulting’s project management and application development service lines, working with senior management via proposal development, solution engineering and sales support; External projects include: Society of Industry Leaders, Gershon Lehman Group, Data Management Division: Advise on industry matters and trends on topics which include Exchanges, ECN’s, DMA’s, Straight through Processing (STP), Risk Mitigation, Clearance & Settlement processes, Compliance.

Confidential

SFTI Business Development / Managing Director / SFTI Enlistment & Implementation

Responsibilities:

• SIAC developed SFTI (Secure Financial Transaction Infrastructure) in the 1st quarter of 2002; SFTI currently has 1000+ firms connected to the infrastructure generating 30MM in gross revenue. Created and Launched the CSP / B2B service model in 2005 for support of Regional, and International Exchanges, ECN’s and ATS’s for order flow and market data. The CSP model is generating $500,000 MRR with 35 additional Market Centers. Surpassed all revenue projections quarter over quarter for direct and indirect connectivity, B2B, and market center application offerings; reduced projected expenses, upgraded network to 10Gbps, and added additional access centers.
• Responsible for all expanded offerings with the assurances of all market data applications domestic, and international are compliant within each subscribers SRO. SFTI offers connectivity to all 12 exchanges in Europe, 8 in Latin America, 3 in the Pacific Rim, plus access to the SWIFT network of 7600+ asset managers, banks, and clearing facilities. Expanded SFTI’s reach by forming alliances with additional aggregators and channel partners (BT Radianz, Savvis, TNS, RCN, Time Warner and Yipes). Wrote all functional specs, and implemented “network live” for 25 CSP’s. Leveraged client relationships with outside firms, agencies, utilities, service bureaus, investment managers, custodian banks, correspondent clearers, hedge funds, ECN’s, ATS’s, DMA’s and other fiduciary related organizations.

Confidential

Sr. BA / Project Manager Consultant

Responsibilities:

• Project Management, Subject Matter Expert, Senior Business Analyst for Mortgage Backed Securities Conversion; Responsible for all functional specs, established multiple queue’s for streamlining processes from trade, allocation, and settlement. Responsible for migration throughout SDLC; Project lead from implementation to production;Support users in Mortgage Backed Silo for MBFE (Front End), MBFP (Financial Processor), MSET (Settlement), BDAS (Clearance). MBSCC Systems Liaison, FED / PTC; Incorporated, and implemented all custody, compliance, risk and credit requirements within the systems integration in the STP model.
• Upgraded allocations, financing, yield enhancement financing for Chase Custodial Clients, and TBA exposure requirements to fully integrate features in real time. Enhanced compliance and risk query functionality for all departments. Reengineered system requirements and specifications for processing additional Fixed Income and Derivative securities; Linked all lending parameters for Repo, tri-party, and Custodian lending profiles.

Confidential

Sr. BA / Architect / Engagement Director

Responsibilities:

• Financial Services Group Subject Matter Expert for all functional specifications for Global Inter Dealer Broker’s Multi Product application for processing: US Governments, Repos, Securities Lending, FX, FX Options, Electricity. Owned all functions of SDLC; Created generic GUI design to support all trading desk products and positioned product for different customer segments. Documented all stand alone applications for full integration of Market Data, Static Data, Compliance, Credit, Risk, Exposure, Counterparty, and P&L; Enhanced front end application capabilities to support seamless STP and fully integrate front to back processing from Execution, Trade Confirmation, Clearing, Settlement, Credit, Risk, Compliance and SWIFT messaging options.

Confidential

President, CEO, Chief Compliance Officer, Founder

Responsibilities:

• Financed & Repurchased 16 Billion bonds per month for Institutional customers, and Offshore Hedge Funds. Initiated Tri-party agreements with Custodian Banks; Created in house portfolio system by client, by security. Integrated LoaNet and Global 1 into the portfolio system to show yield enhancement vs. cost for securities lending program and repos
• Reviewed Daily Trade blotter, Trial Balance, Financing Rates, Cost of Carry. Filed monthly Focus, and reporting of Non-Dollar transactions to the Federal Reserve C of C; wrote all procedures for: Trade Processing, Affirmation as principal process, Supervisory, Operations, Compliance, Continuing, Credit & Operational Risk, Firm margin requirements; Insider Trading Policy, and Record Retention policies. Primary point of contact for all audits conducted by NASD, SEC, and outside auditing firm;

Confidential

Sr. BA / Project Manager Consultant

Responsibilities:

• Integrated Accounting, Internal Audit, Credit, Compliance, Risk Management, Control and Operations, Clearance, and Settlement, integrated Global Bank Custody Lending platform to interface with Broker Dealer Global Securities Finance systems; created all documentation, GUI Design, Functional & Business requirements, Work flows, Report Design and sequences,, Demo’s & Documentation.