Daniel M. Fitzgibbons

*** ********* *****

Rockaway, New Jersey 07866

973-***-****

acer5v@r.postjobfree.com’

Professional Summary:

Seasoned manager with extensive experience leading the operations of banking/brokerage applications and

programs. Vast business line expertise with Regulatory Compliance, Investment Banking, Finance, and Customer

Relationship Management. Broad experience in Project Management, Disaster Recovery, Training, Financial

Analysis, and Offshore team management.

Experience:

Held a number of roles with increasing responsibility, through mergers and name changes of financial entities.

Citigroup, New York, NY July 2011 to-Feb 2014

Vice President, Broadridge Conversion Project

• Member of the PMO team

• Citigroup SME for DTC/physical Settlement

o Utilizing BPS and IMPACT systems for Equity and Fixed Income settlement.

• Provide technology solutions aligned to stakeholder’s key strategic and tactical requirements

• Facilitate the preparation of strategic application roadmaps to help business achieve their objectives and

continuously improve their performance

• Establish effective control and monitoring systems to ensure the success of IT operations

• Manage customer-centric applications, business analytics and reporting, knowledge management and

collaboration tools

• Provide business analysis and writing of Business Requirement Documents BRD’s

• Create test scripts and handle execution of the test scripts

• Lead the planning and execution of application development and maintenance programs. Manage on- and

offshore teams.

• Developed project GAP analysis between current state and Broadridge future state

• Uncovered significant shortcomings in the Broadridge DTC settlement space and their Buy-in capabilities

• Worked with Broadridge to rewrite their buy-in module to meet Citigroup standards

Vice President, DTC Receive and Deliver Manager October 1998 – July 2011

• Daily clearance and settlement of DTC activity; CNS, Broker to broker, DVP/RVP, ACATS, retail customer.

• Delivery analysis and expediting

• DVP and Broker reclaims

• DVP reconciliation and control

• Departmental MIS reporting

• Regulatory Compliance FINRA Regs

• SME for the CBRS DTC initiative (cost basis reporting system)

• ID Affirmation control

• Processed payables and receivables

• Created and maintained departmental budgets

Outsourced the Department to Buffalo, delivering an annual save of $1.3 million

Smith Barney, New York, NY

Vice President, DVP Reconciliation and Control Manager June 1988 – October 1998

• DVP and Broker reclaims

• DVP reconciliation and control

• Departmental MIS reporting

• Regulatory Compliance FINRA Regs

• ID Affirmation control

• Processed payables and receivables

• Managed risk and control processes for numerous departments as part of the Settlement department

• Created and maintained departmental budgets

Daniel M. Fitzgibbons Page 2

E. F. Hutton, New York, NY March 1976 – June 1988

Mutual Fund Clearance Department Manager January 1984 – June 1988

• Daily clearance and settlement of Mutual Fund trades

• Processed changes to customer positions and entitlements at the Funds

• Handled branch inquiries

• Processed payables and receivables

• Created and maintained departmental budgets

Fail Control Section Manager January 1981 – June 1984

• Broker reclaims

• Fail reporting

• Broker Fail Buy-ins

• Regulatory Compliance

Buy-in Department Supervisor March 1976 – January 1981

• Fail reporting

• Broker Fail Buy-ins

• Regulatory Compliance

Education:

St. Peter’s College, Jersey City, N.J

In house courses:

• OFAC and AML Sanctions

• Fraud Awareness

• Internal Controls

• Operational Risk and Control Assessment

• Budget Forecasting

• Managing Effective Business Meetings

Skills:

Word, Excel, DTC ID, PowerPoint, Visio

Industry Committees:

DTC ID Advisory Committee

NSCC Obligation Warehouse Committee

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