SUMMARY

• A management consultant with over nine years of experience working in the securities and investment management industries. Throughout my experience I have been focused on middle and back-office operations, derivatives operations, and investment compliance monitoring. I have a sound understanding of the trade capture process, from execution of trades to the settlements and confirmation process.
• As a result, I also have an understanding of how enterprise systems can enhance or handicap the trade flow process as it relates to trade booking, compliance, and reporting. My product knowledge spans across several asset classes including equities, derivatives, currencies, and bonds both domestically and internationally. My technology expertise includes Bloomberg, Bloomberg OMS, Northern Trust Hedge Fund Passport, Advent Axys, DTCC, Icelink, Oracle SQL Developer and Omgeo. I am PMP certfied, and have a Secret government security clearance.

EXPERIENCE

Confidential

Projects:

Confidential

• Provide advisory services for the wealth management arm of a large investment bank that is migrating their legacy technologies to a consolidated platform
• Assist with mapping of target state process flows
• Facilitate and structure meetings between various stakeholders within the organization
• Inventory data feeds between vendors and internal technology groups

Confidential

• Institute a product control supervisory group within a global wealth manager
• Meet with stakeholders to identify the necessary policies and procedures for supervisory activities
• Establish roles and responsibilities within the supervisory framework
• Identify product surveillance tools for stakeholders within portfolio management, account management, and product control

Confidential

• Investment compliance monitoring functional assessment
• Perform Investment Management Agreement contract analysis to identify and resolve global interpretative issues
• Analyze rule coding for sample set of accounts and address coding deficiencies
• Facilitate table top sessions between support groups of the investment compliance monitoring lifecycle trading, client onboarding, legal, compliance to discuss industry leading practices
• Provided observations and recommendations for improvements

Investment Manager

Confidential

• Investment compliance automation program. The functional lead in a PMO engagement that automated manual compliance processes and calculations
• Document business processes and workflows and present gaps and deficiencies
• Perform general project management tasks such as project status, issues and risks, and project deadline tracking
• Facilitate whiteboard discussions between business and technology
• Query the database to debug issues raised by the business users
• Gather requirements from the business users and translate them into business specifications documents
• Coordinate user acceptance testing and QA testing
• Develop a KPI framework so that the client could prioritize, manage, and assess project success
• Provide leadership presentations and reporting heat maps, KPI dashboards, etc.
• Present to C-level executives on project metrics
• Internal Venture Capital Fund:
• Build and maintain an investment reporting tool in SharePoint to monitor investment performance of the firm's seed investments
• Train and present to investment participants on how to use the reporting tool
• Research industry trends to validate Deloitte Partner business plans

General Firm Contributions:

• Contributed to three winning proposals totaling more than 800,000 of revenue in 2014 one of which had multi-million dollar revenue projections in subsequent phases
• Built a knowledge management repository for proposals, qualifications, and deliverable templates

Confidential

Summer Associate

• Generalist intern assisting with the unwind of legacy derivative positions from the Lehman Brothers bankruptcy
• Automate processes related to the mortgage-backed trading business by utilizing Bloomberg and various technologies
• Manage daily collateral process for live derivative positions

Confidential

Associate

• Advent is a multibillion dollar investment manager specializing in convertible, high yield, and equity strategies offered through long-only, hedge fund, and NYSE closed-end mutual fund products. I supported the trading and operations across several products and all business lines.
• Book trades in internal system for various product lines including convertible bonds, high yield bonds, currencies, equities, credit default swaps, equity swaps/CFD's, options, bank debt and futures domestically and internationally
• Implement the Bloomberg Order Management System while monitoring the effect on middle and back office processes
• Assist in the end of day and month-end P L and pricing process
• Manage the entire CDS product line from middle to back including the booking, settlements, confirmations, position reconciliation, valuations, and collateral of single name and index underlying securities

Confidential

Rates Specialist/Municipal Client Service Rep

• The debt derivatives settlements area is a group that settles payments for ABS, CDS fees and coupons, and various interest rates swaps. I became a rates specialist within the group and set the rates for various rate sets, focusing mainly on the BMA rate while covering municipal clients.
• Oversee daily rates settlements process for a highly sensitive municipal client base that included hospitals and pension funds
• Set vanilla BMA rates along with complex weighted average BMA rates for daily derivative settlements with increased system permissions and responsibility, set rates for LIBOR, EURIBOR, FED FUNDS, CORRA

Confidential

Contract Employee

Prime Brokerage Custody Management

Reconcile between 300-400 trade breaks on a daily basis, correct security position and money differences