MICHAEL C. OLIVEIRA

EXCEPTIONAL CHARACTER DRIVEN IMPLEMENTATION MANAGER WITH A PASSION FOR STABILITY

Home: 845-***-**** Mobile: 845-***-****

Email: aceeug@r.postjobfree.com LinkedIn: linkedin.com/in/mikeoliveira

Senior Application Development Manager and certified Project Management Professional with extensive

experience implementing innovative front, middle, and back office solutions for financial service organizations.

Versatile strategist, recognized for having exceptional leadership abilities, superlative business acumen and

superior technical skills. Experienced in both vendor and proprietary solutions, and on-shore, fixed price, and off-

shore development. Areas of expertise include:

• Business Process • Performance Measurement &

• Program Management

Management Reporting

• Leadership & Team

• •

Cost Optimization Portfolio & Order Management

Building

• Pre & Post-Trade • Multi-Currency Portfolio • Technology

Compliance Accounting Management

1. Implemented numerous $M+ firm critical technology projects on-time, on budget and to specification

(Broadridge, UBS, and Alliance Bernstein).

2. Optimized use of offshore resources to realize 20% - 30% capacity increase or cost reduction objectives

(Broadridge, UBS, and Alliance Bernstein).

3. Pooled development teams to provide staffing flexibility, improve application knowledge depth, and

reduce overall support costs by 10% - 20% (Broadridge and UBS).

4. Established ‘run the business’ teams that improved developer efficiency by minimizing their support

activities. These staff optimizations enabled a smaller overall team to continue to enhance the platform and

support the business while application availability increased to 99.9+% with rare outages ( Broadridge and

UBS).

5. Implemented a multi-year $20M performance measurement and reporting program on-time and to

specification while at UBS. This implementation required the customization and installation of a UBS

Switzerland developed position keeping and performance engine, and the integration with many systems

including Client Master, Security Master, Bookkeeping, and legacy Performance Measurement.

CAREER PROFILE

Broadridge Financial Solutions, New Jersey 2012 –

2014

A leading full-service outsourcing provider to the global financial industry, capable of meeting the most

demanding requirements for efficient, secure and scalable operational support.

Vice President

Managed a global staff that peaked at 60 responsible for a business rule driven work flow platform called

Ascendis with an annual budget of $6M. Ascendis automates ACAT, Cash Management, New Account Opening,

Margin and Seg Deficit exception, and Firm Balance, Payment, and Trade Reconciliation processing for 20+

clients.

• Implemented an Approval Workflow Service (AWS) that accepts any XML approval request and provides

custom routing and approval rules. AWS offers flexible integration options ranging from case maintenance to

a sophisticated workflow and accompanying User Interface.

• Implemented more than 30 application instances of Ascendis in the Fiscal year ending June 30, 2013,

increasing the Production total by 50% to 90 instances.

• Reduced Ascendis Total Cost of Ownership by 20% ($1.5M) through various staffing, technology and

infrastructure optimization activities.

• Collaborated with business colleagues and Senior Management to assess the need for a Business Process

Management System. Conducted in depth discussions with Red Hat and BonitaSoft.

UBS Wealth Management Americas, New Jersey 2007 –

2011

A leading global wealth manager, investment banking and securities firm, and one of the largest global asset

managers. With headquarters in Zurich and Basel, Switzerland, UBS operates in over 50 countries and from all

major international centers.

MICHAEL C. OLIVEIRA

Page 2 of 3

UBS Wealth Management Americas (Continued)

Executive Director

Managed 5 Directors responsible for a suite of applications that provide end-to-end solutions for $75B+

6.

Advisory business, beginning with risk profiling/proposal, progressing to portfolio and order

management, then to trade execution and allocation, and concluding with performance measurement and

client reporting. Advisory products were offered in separately managed, unified managed and

commingled account structures. This global staff peaked at 90 with a 2011 budget of $15M.

7. Actively participated in strategic planning meetings with senior business and technology management

including CxO. Directly interacted with high production FAs to discuss application questions, issues, and

target state.

8. Implemented an SEC mandated application to disclose disciplinary action levied against FAs to advisory

clients in all proposal and financial planning applications.

9. Implemented a $1M enhancement to advisory systems that increased firm revenue by several $M/year by

reducing FA comp when fees charged to a client were below a stated minimum.

10. Led a team that revamped Performance Reporting, enabling FAs to create and schedule client specific

report packages for any time interval using money weighted or time weighted performance data.

Alliance Bernstein, New York 1999 -

2006

A US-based, global asset management firm that provides solution-based diversified investment management

services worldwide to institutional, high-net-worth and retail individuals.

Vice President

11. Managed a global staff that peaked at 32 responsible for several multi-currency Portfolio Accounting and

Performance Reporting applications.

12. Member of a committee that reviewed third party portfolio management accounting systems with the

objective of selecting a system that would obviate three legacy systems. Headed requirements definition

sessions with senior business partner and technology groups to compile vendor RFP. Selected the Eagle

product suite and branded the project SPARK (Strategy for Portfolio Accounting and Record Keeping).

13. Led a team responsible for an Enterprise Data Warehouse purchased from Eagle in October 2000. These

databases were customized to store and disseminate data for multi-currency accounts holding a broad

spectrum of equity, fixed income, and derivative security types.

14. Directed the SPARK accounting team, responsible for the transaction entry, transaction posting,

mandatory corporate action, amortization/accrual, valuation, and data transfer processes. This involved

legacy portfolio conversion, and daily trade, corporate action, valuation, and reconciliation processing.

15. Guided the SPARK internal reporting team, responsible for the identification and reproduction of internal

reports. This involved a detailed review of several hundred legacy reports to identify commonality and

consolidation opportunity, and the development of the required reports using Eagle reporting tools.

16. Led a team responsible for proprietary portfolio management accounting and reporting systems which

supported critical multi-currency back office functionality including transaction entry, online inquiry,

transaction posting, DTCC affirmation/confirmation, mandatory corporate action, amortization/accrual,

valuation, internal reporting, client reporting, and client billing.

17. Managed a team responsible for legacy system maintenance and data feeds to SPARK.

18.

19. Bankers Trust, New Jersey 1996 –

1998

A leading financial institution for commercial and consumer banking services.

Vice President

Led a staff of 10 responsible for Market Data, Valuation, and Reporting applications within an in-house developed

Multi Currency Accounting and Reporting System (MARS).

20. Managed a staff responsible for MARS client statements. Clients chose financial report packages from a

group of 100+ statements including: activity, accrued income, earnings, asset allocation, asset and liability,

brokerage analysis, fixed income analysis, cash reconciliation, and gain/loss detail/summary. 1998 was largely

dedicated to Euro dollar reporting enhancements.

MICHAEL C. OLIVEIRA

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Bankers Trust (continued)

21.

22. Led the MARS valuation team from March 1996 through November 1997. Added variable frequencies

(daily, weekly, monthly, request, etc.) to three types of valuations (ad-hoc, formal, unaudited). Implemented

pricing enhancements including: vendor price hierarchy, nonstandard pricing, stale pricing edits, and custom

pricing of holdings. Delivered income, balance sheet, and net asset views of a valuation on the workstation.

23. Directed the MARS market data team from November 1995 through February 1996. Responsible for the

load and maintenance of all pricing, security indicative and corporate action data. Implemented Extel

Daily FX Rate feed and an income announcement generation procedure.

24.

25.

Prudential Securities, Inc., New York 1989 -

1995

The financial services arm of Prudential Financial that merged into Wachovia Securities in 2003.

Vice President

Led teams responsible for Securities Lending, Short Sales Approval, and Borrow Allocation systems and

brokerage cashiering functions including: physical, DTC, and CNS clearance, reconciliations, syndicate

processing, on-line/batch reporting, security segregation, and security allocation.

26. Developed a Dividend Tracking System that monitored dividend claims on open fails, loans, and borrows.

27. Designed an IPO tracking system in conjunction with a new service offered by the DTC.

28. Led the design/development of a Corporate Action Announcement system which stored corporate action

data and used a rules hierarchy to create the ‘best of ‘breed’ announcement. Produced documentation of

procedures, led user meetings to define requirements, and presented functional proposals.

29. Managed the Mutual Fund Technology Area. Responsible for Conversion, Dividend, Exchange,

Reconciliation, and other systems that supported proprietary and non-proprietary mutual funds.

L.F. Rothschild, Inc., New York 1986 -

1988

A merchant and investment banking firm that was founded in 1899 and collapsed in the 1987 stock market crash.

Project Leader/Programmer Analyst

30. Managed a team that completed a conversion from DOS/VSE to MVS/XA.

31. Developed/maintained programs for Commission, Expense, P&L, P&S, Security Master, and Stock

Record systems.

32.

EDUCATION & CERTIFICATIONS

B.S. in Management Information Systems Cum Laude, SUNY Albany, 1986

Certified Project Management Professional, 2011

Series 7 & 63, 1991

TECHNICAL EXPERIENCE

Operating Systems AIX, Linux, Mainframe, Microsoft, UNIX

Data Bases DB2, IDMS, Informix, MS Access, MS SQL Server, Oracle, Sybase

Development Tools ASP.Net, C#, C++, C, CICS, COBOL II, Java, Perl, UNIX Kornshell, VB, WebSphere

BOARD AFFILIATIONS

President of a charity called TOUCH (Together Our Unity Can Heal): May 2012 Present

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