Supervisor Resume New York, NY - Hire IT People

SUMMARY:

Vice President of Brokerage Operations Extensive securities product knowledge: trading, trade support, clearing and settlements experience Established Professional with significant years of experience within the Financial Industry Expert in Process Improvement, Strategic Planning, and Risk Management Technically proficient in Trading, Middle Office, and Back Office Operations Experienced in all phases of reporting and auditing to all major exchanges

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY 8/2010-8/2011
Vice President-Regulatory Reporting

Manage all Equity related Trade and Transaction Reporting processes (OATS, OTS, ACT and Blue Sheets.)
Manage the daily OATS call as well as the weekly OATS and Blue Sheets call.
Develop a strong understanding of the firm's internal infrastructure as well as the applicable rules.
Effectively communicateto production and KPMG related issues.
Develop requirements which focus on the validation and reconciliation of the firm's trade reporting data.
Initiate a close working relationship with the Governance Group to ensure all changes and issues are documented fully.
Develop a cohesive team in which each individual has the ability to grow by taking on greater challenges.
Develop ORC's current control process by identifying additional requirements for the TR HUB.
Continually work with each member to make sure their needs are meet.

Confidential, New York, N.Y. 1/1994 - 5/2010
Vice President – Brokerage Operations (3/96-5/10)
Trading Floor Support for Equities and Fixed Income

Managed all business infrastructures including operational re-engineering, enhancement/improvements for trading and clearing applications, industry initiatives, strategy, and trade processing flows
Managed JP Morgan through three mergers (Chase, Banc One and Bear Stearns) by consolidating test scripts with trading desk, technology, middle and back office operations
Spearheaded the development and implementation of the “touch pad” trading system which automated and improved the clearing side of the business resulting in keypunch errors being reduced by 85%
Business requirements gathering, analysis design/process workflow, write functional specification, Quality Assurance, user training and implementation for trading desk, middle and back office applications
Analysis of existing processes, documenting them and recommending solutions
Created and reviewed all user requirements, design specifications and release notes for end-to-end delivery of business functionality
Defined and analyzed reporting requirements for front, middle and back office users
Proposed process solutions by providing recommendations for the best use of technology
Documented, tested and analyzed data for new trading systems including Fidessa, Onsite and Brass
Developed and implemented procedures and controls for front office, mid office and all other operational areas
Assisted operations in determining new business requirements such as creating a new program trading desk
Liaised with IT overseeing test scripts and ensuring that test results correspond to the business expectations
Managed Reference Data for all trade processing in the Equity product area
Performed quality assurance testing by supervising the output of new data from updated test scripts for trading, middle and back offices applications
Instrumental in proposing and implementing ideas to reduce costs and increase operational efficiency through systems automations and/or enhancements, such as recommending a “bundling application” for executions which saved JP Morgan approximately 3 million/yr
Produced and monitored data for risk management and financial control
Liaison with traders and other operations departments to resolve clearance and settlement problems
Solid understanding of industry flows and functions
Involved with the Securities Industry Association (SIA) Committee for all street wide initiatives
Budget planning and expense management for the business side of middle and back office
Relationship Manager with Compliance, Internal Audit and outside vendors
Expert user for SunGuard ( Phase 3 ) and ADP application
Manager - Purchase and Sales (1/94-3/96)
Managed all daily operations

Confidential, New York, New York
Supervisor - Purchase and Sales 12/1985 - 1/1994
Responsible for the management of Purchase and Sales operations, which included Corporate Bonds, Muni Bonds, Treasuries, Units, Listed Equities, OTC and Options

COMPUTER SKILLS:

Microsoft Word & Excel
Fidessa
Onsite
Brass
SunGard (Phase 3)
ADP
Internal trading apps

EDUCATION:

Business Administration

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