DONALD F. COLLINS

**** ******** ****** 516-***-**** Home

Oceanside, New York 11572 516-***-**** Cell

Email: actc34@r.postjobfree.com

SUMMARY

Senior Financial Executive with extensive experience in front and back office operations and systems in Global Insurance, Banking, Brokerage, and Wealth Management.

Unique ability to move project initiatives forward in a cross-functional and matrixed organizational model. Regarded as a “hands on” leader, experienced in building or improving existing operations and technology by applying a standardized lifecycle (SDLC) approach.

Achieved major accomplishments in the integration of multiple acquisitions and management of key strategic projects for both domestic and international operations.

CORE COMPETENCIES

Strategic Planning and Analysis

Program / Project Management (PMO)

Mergers, Acquisitions & Integrations

Risk and Exposure Management

SDLC Methodologies: Waterfall, RUP, Agile

Implementation – Build, Test, Deploy

Integration and Due Diligence

Process and Infrastructure Improvement

Financial Planning and Analysis

Cost Control Management

EXPERIENCE

Senior Business Manager/Project Manager- Consultant 2009 to Present

Accomplished in the design, development, and management of highly effective Operations, IT effectiveness, business process improvement/outsourcing/off shoring, M&A due diligence and integration, best in class global customer service delivery, and large scale processing operations. Strategic growth initiatives include global expansions such as country start-up operations in China and India, as well as large complex IT initiatives, transformations, data management projects, data mining, and reengineering to create common administrative and customer service operating platforms.

JPMorgan Chase 10/2015 to Present

Senior Project Manager supporting the Risk Management Oversight & Control PMO. The objective of the Corporate Operational Risk Ecosystem (CORE) Program is to replace the Phoenix platform with a firm-wide operational risk management tool. This will keep pace with changing regulatory and business mandates while fulfilling business requirements for functionality, simplicity, and usability. The Phoenix platform is the current System of Record (SOR) for Operational Risk Management across the organization, and is critical to the bank’s operations with over 9,000 users, over 2,500 reporting users, and is integrated with a number of source systems. Additionally, I am responsible for supporting the system migration that is moving the Phoenix system onto a new platform, known as Force. This includes:

The reporting output required for the new system

Conducting analysis on how to translate old data to new data attributes in order to ensure required reporting needs are met for Day 1

The data in scope involves Operational Risk (issues/action plans, risk events/losses, control evaluations, and testing – Sox, etc.). The work includes the review of reporting and strategical analysis of data as part of a large-scale system’s migration project. I engage in various analytical functions across the firm from multiple sources and formats. I proactively communicate reporting modifications and process changes to contributors based on senior management requests and personal observations. I ensure key trends, issues, and watch items are brought forward into management summaries clearly. I assisted in real-time risk detection and communicated escalation items to executive management to improve transparency and enhance control monitoring. I further support the Controls Room on ad hoc projects as required in line with program objectives, and work closely with the Data Gathering team and Controls Room lab to automate data feeds and standardize reporting. Responsible for conducting daily status updates with the project team and major stakeholders that reviewed issues and initiated corrective action to stay on target. Communicated clear and accurate project status to stakeholders and higher levels of management both verbally and in writing.

BNP Paribas 02/2015 to 08/2015

Senior Project Manager/Business Analyst supporting the Finance area with regard to the Dodd Frank, Volcker rule and CCAR (Comprehensive Capital Analysis and Review FR-14A). Ensure compliance when conducting market making activities by selling BNPP Arbitrage (French Broker Dealer) inventory to BNPP Sec Corp (U.S. Broker dealer) in order to trade on a proprietary basis utilizing PrimeBD Trading Platform. While supporting the Product Control area, I was responsible for writing the functional specification requirements involving the handling of Equities, EFT’s, Mutual Funds, ADR’s, Convertible Bonds, Equity Options and Non-US Options by utilizing the Broadridge Business Processing System (BPS-Option 8) to feed financial data to the firm’s LAP General Ledger. The system was developed for the processing of foreign exchange trading. Also responsible for the development of the project schedule, project object, risk assessment, statement of work, change control, risk and issues log, requirement traceability, roles and responsibilities, meeting agendas, meeting minutes/action items, BRD, FRD, technical design document, user acceptance test plan and lessons learned. Comprehensive Global Markets Product Knowledge: MBS/ABS, UST, Agency, Corporate Bonds, Repo, Tri-Party, FX, Derivatives, ETFs, Equities, etc.

Pershing – Bank of New York Mellon 01/2014 to 01/2015

Senior Project Manager responsible for managing the efforts of new multiple work streams, as well as ensuring that existing projects were completed on time and under budget. Additionally, prepared project status reports for senior management, specifically Mutual Fund Administration, Prime Broker, Wealth Management, Custody, and Capital Markets. Led development of common standards and tools, assisted in operational rollout and support, and translated business requirements into functional specifications for the IT organization. Served as a liaison between the internal/external business community and the IT organization in order to provide technical solutions to meet user needs. Responsible for supporting stakeholders from the Managed Investment, Compliance, Regulatory, Product, Pricing, Technology, Operations, and Finance areas. Implemented a plan in both MS and HP Projects, developed requirements with the subject matter experts, worked with the Development teams to establish their estimates, set up daily calls with both the Operations and Technology teams, and created the test cases. I further initiated bi-weekly meetings with Barclays to advise project status. Also responsible for the development of the project schedule, project object, risk assessment, statement of work, change control, risk and issues log, requirement traceability, roles and responsibilities, meeting agendas, meeting minutes/action items, BRD, functional specifications, technical design document, user acceptance test plan and lessons learned. Other responsibilities included:

Managed a new DVP Recon Process for the Barclays Project, which involved 800 accounts and contract negotiation management with Advent and FISERV. Also developed reports utilizing Geneva-Advent software for Barclays Asset Management Business. Responsible for test plans and test case management through a JIRA testing process.

Developing new Client on Boarding workflow initiative for Santander Securities, which includes forms, e-Signature (Topaz), and entitlements end to end.

Created a new Mobile Check Deposit process for 360 Investment Advisors and IBDs using two vendors, Remit Pro and WAUSAU. Responsible for writing BRD and functional specifications, which included use cases and project estimates and test cases.

Secretary for the International Risk Committee responsible for managing Pershing’s IRC Charter, which protected the reputational credit and operational risk of the firm. The Committee served as a forum to discuss Pershing LLC, Pershing Advisor Solutions, Pershing Prime Services, Pershing Limited, Pershing Securities Limited Australia, Pershing Securities Limited Canada, and Pershing Managed Investment’s new business opportunities with prospective clients. The Committee also reviewed requests by introducing new firms to establish “clear through” relationships with non-FINRA entities or FINRA entities meeting specific criteria. I additionally led due diligence reviews of clients conducting international business by utilizing input from Compliance and KYC departments. The reviews were in conjunction with the Pershing Anti-Money Laundering Compliance Manual and the OFAC Compliance Manual, along with the USA PATRIOT Act and other relevant regulations. This was to understand the regulatory, credit risk, and operational risk landscape of our current and prospective international client base, and the implications of conducting business in various international jurisdictions.

Deutsche Bank 08/2013 to 01/2014

Senior Portfolio Manager responsible for Global Technology Operations Excellence for $130 million Location Strategy, RTB/CTB initiatives, programs, and projects during the PMO lifecycle. Location Strategy is a global initiative to move headcounts from high cost locations to lower cost locations. The Portfolio Manager acts as the primary point of contact for Program Directors, playing a vital role in the overall reporting of program health and governance by assisting the Program Directors in the development of in-scope business cases, ensuring completeness, quality and alignment to the various internal controls (e.g. HR, Tax, Finance, Strategy, Risk, etc.).

AIG 05/2012 to 08/2013

Senior Business Analyst/Project Manager - PMO responsible for the management of an end-state solution for the Global Portal/Content Manager integration project for the AIG’s Tax Division. The solution provided the ability to upload documents independently of any specific workflow documentation for TAAA, FIN 48, and Other Discrete information. The project was structured and delivered by a prescribed project lifecycle: Plan, Analyze, Design, Build, Test, User Acceptance Testing and Deploy. Also responsible the stakeholder management plan and implementation of the communication of weekly status reports. Responsible for the development of the BRD for a new Global Tax Portal using Appian for security and IBM Content Manager, which was used to store workflow documentation for TAAA, FIN 48, and Other Discrete information. This project included the reconciliation of $100 billion of structured data going back to 1985 and handled multi-currency transactions. Comprehensive Global Markets Product Knowledge {MBS/ABS, UST, Agency, Corporate Bonds, Repo, Tri-Party, Derivatives, ETFs, Equities, etc.}

BNP Paribas 09/2011 to 04/2012

Senior Project Manager/Senior Business Analyst supporting the Prime Brokerage area in the development of an Arranged Finance Platform handling US Listed Equity Options, Non-US Options, and Financial Futures (Interest and Option Derivatives) by utilizing Broadridge Business Processing System (BPS). This system was developed to handle foreign exchange trading. Responsible for the development of the BRD, Technical Design Document and UAT plan. Also responsible for developing reports using Geneva-Advent software. The system allowed for cross-margin options against other arranged client positions, and provided enhanced leverage beyond onshore levels.

UBS 02/2011 to 08/2011

Senior Business Analyst supporting the Finance Division in the development of a Global Management Reporting System (GAAP, IFRS 9, BASEL 2 & 3 and Statutory) known as Meridian. The project required changing UBS’s product pricing from Cost Basis to Fair Market Value, which covered IFRS 9 and FAS 157 Pricing for Derivatives Products (Interest Rate Swaps and Credit Default) and Dodd-Frank FDIC regulations. The system was built around an SAP General Ledger that supported all downstream areas of the firm, including Treasury, Compliance, Regulatory, and Management Reporting. Also supported the London Products’ Control area in developing trade break PNL reports for off balance sheet trades by utilizing the Business Objects’ tool for data mining. Responsible for managing outsourcing of business analyst testing with WIPRO in utilizing JIRA into the testing process that automated the execution of unit and functional tests with BamBoo have the results available within every issue in JIRA so the team has full traceability.

Citigroup 11/ 2009 to 01/2011

Senior Project Manager – PMO/ Business Analyst responsible for writing the BRD and Functional Specifictions for the retirement of the Citibank Trading System, Economic Trading P&L System, and the Trade Management System for all futures and options on futures’ products onto SunGard’s GMI Platform, which handled foreign exchange and derivatives. The projects’ objectives were to produce all accounting entries from one source of financial information to the Oracle GL, provide downstream systems with financial data, and streamline the process by eliminating and automating reconciliations. Supported the Middle Office and Product Control areas in moving the CME OTC derivative products, such as Credit Default Swaps and Interest Rate Swaps, onto Citi’s GMI System. Also developed the business plans for memberships on the BM&F BOVESPA in Brazil for trading futures, the NODAL Exchange, and the New York Portfolio Clearing Exchange. Also responsible for the development of the project schedule, project object/scope, risk assessment, statement of work, change control, risk and issues log, requirement traceability, roles and responsibilities, meeting agendas, meeting minutes/action items, BRD, functional specifications, technical design document, user acceptance test plan and lessons learned.

Metropolitan Life Insurance Company, New York, New York 2005 to 2009

Vice President, Financial Operations Manager - Global PMO

Led and managed the Global Finance and Operations teams consisting of 64 professionals in the implementation of a common technology platform to achieve and execute program objectives. The initiative focused on people, processes and technology that would improve controls and reduce risks, and included the outsourcing of data centers and call centers with IBM, Sykes and Fujitsu to two locations in Singapore and Mexico. The Sykes call center were located in Costa Rica and the Philippines and were responsible for servicing North America and Latin American Claim Operations. Further coordinated initiative with business executives in the UK, Belgium, Poland, China, So. Korea, India, Brazil, Chile, Argentina, Japan and Mexico in order to build a core platform to support a multi-lingual and multi-currency system. Responsible for developing the BRD and use cases that included approximately 2,900 requirements to support the Global Platform.

Directed teams in Mexico, Chile and Brazil for the selection and development of a new multi-currency and multi-lingual Policy Administration System (AdminSever) and Major Medical System (TriZetto) that involved a budget in excess of $80 million. The system required the development of a Group Life, Individual Life, Property & Casualty and Major Medical insurance operation platform to support MetLife’s global business. Responsible for contract negotiations, statements of work and service level agreements with application service.

Negotiated new master service level agreements with MetLife’s Legal Department and Accenture, Navisys and Trizetto for Global Administrative Systems and Major Medical Software Systems. Rules were established in the handling of intellectual property issues. Achieved an estimated 35% ROI.

Facilitated JAD sessions with business, finance, operations, and technology stakeholders; Focused on delivering data and impact analysis, use cases, business and functional requirement requirements (BRD, FRD) using an interactive structured system development methodology with Six Sigma process improvement and risk management considerations.

Led Due Diligence team and Integration team for Mergers and Acquisitions in Latin America. Supported the Business Development Group and bankers by working with the regional teams on targeting and evaluating deals. This resulted in the development of business cases and contract negotiations on three proposals. This covered AML and OFAC reviews of KYC.

Broadridge Financial Solutions, New York, New York 2000 to 2005

(Previously USClearing, a subsidiary of Bank of America/Fleet Boston Financial and ADP)

Vice President, Controller Operations/Systems

Directed US Clearing’s client enhancements for high net worth customers and correspondents. Led the design and implementation of a strategic project to integrate the delivery of banking and brokerage products and services to the business’s investment-customer segment, resulting in a more competitive and profitable product line for the firm. Responsible for a $200 million budget, managing the firm’s relationships with outside clearing firms: DTCC, Euroclear, Bank of New York and Chase.

Designed and implemented an Asset/Liability Risk Management Reporting System to assess and minimize the extent of operational risks and strengthen internal and accounting control. This data base system incorporated account aging, mark to market and imputed interest gains and losses.

Managed the Securities Transfer/Retirement (ACATS and Non-ACATS) Departments with 31 associates during a year of high transactional and account movements

Successfully implemented a $15 million Mutual Fund Tax Lot Accounting/Cost Basis Reporting System using Advent Geneva software for high net worth correspondents. The system was delivered on time and under budget to 200,000 Quick and Reilly high net worth customers. Also responsible for the BRD, RFI, RFP and contract negotiations with Advent.

Implemented the Risk Assessment Management System for compliance with Sarbanes-Oxley (Sox) SEC Rule 404 for reporting on the soundness of internal controls and procedures and OFAC and AML reviews of all new foreign client business.

Salomon, Smith Barney Citi Asset Management, Inc., New York, New York 1999 to 2000

Vice President, Financial Management Reporting Systems and Data Management

Managed the Asset Management Financial and Accounting Systems Group. The group supported both the Retail and Institutional business units, and managed over $400 billion in AUM. Provided systems support for the combined expense information taken from 500 cost centers located in 25 geographic locations from Salomon, Smith Barney and Citibank general ledger systems, enabling the integrated reporting of results across SSB Citi Asset Management business. Responsible for developing test plans SIT, UAT, and test scenarios for 175 different product types and approx. 500,000 test scripts

Created and managed a central repository to house, by account, $400 billion of assets under management for SSB Citi. Database combined key account information across three companies for performance and revenue information.

Fidelity Investments, Inc., New York, New York 1996 to 1999

Director, Senior Project Manager - National Financial Services Corporation

Directed multiple Business and Systems Development teams that orchestrated the firm’s response to new business requirements from the business partners. Managed extensive planning, strategy and review sessions with applications’ development and business partner teams. This included building a new retirement platform known as Advantage, which handled the accounting of the 403b business.

Managed a $30 million Mutual Fund Cost Basis/Tax Lot Accounting and Performance Measurement System while using client/server technology. With the support of the third party vendor, Eagle Development Group, the system was successfully completed on time and under budget.

Led and managed the successful move of 71 positions to Dallas within the Transfer of Assets/Retirement Departments.

Set up Cash Remittance Group to control approximately $30 million of daily cash flow and established a number of lock box agreements with outside banks.

MERRILL LYNCH & Co., New York, New York 1989 to 1996

Vice President, Controller Operations Division

Directed management reporting activities. Provided marketing and sales areas with unit cost and pricing information by product and by business unit. Co-authored “Global Futures Worldwide Review,” a comprehensive review of the risks and exposures of Futures’ business on a worldwide basis.

Established the Merrill Lynch Global Futures System’s (GMI System owned by SunGard Development) business plan and its funding commitment and control document. The system is an on-line, real-time, multi-currency and entity trading and processing system, today becoming the standard system used by the industry. This included writing all the business rules and requirements. I worked with senior management on the re-engineering of the division by implementing a new SunGard Future Platform. The GMI System is a vendor supported system which has been customized to function within Merrill's complex management reporting systems (covering operations, financial and regulatory needs).

Created a new Controller’s Department for Merrill’s Global Futures Trading Division, which performed customary management reporting functions and preparation of the mid-year forecast and annual operating budgets. Responsible for managing $300 million in revenues and $200 million in expenses. Generated an updated monthly cost-distribution charge-out system for business units by product. Responsible for the risk management and regulatory control of a $2+ billion balance sheet. This included installing and managing Oracle Financial’s Management Reporting System, which involved a global multi-currency general ledger that was installed in 25 countries.

Coordinated with technical and business staff to identify, size, and prioritize the large number of systems’ initiatives that needed to be undertaken in order to move Capital Market’s clients onto a distributed client\server platform. This included significant business applications for the FX Trading, Equity Trading System, Municipal Trading System, and Government Trading Systems. Monitored and reported on the status of project spending.

Developed business plans for memberships on the Deutsche Terminborse (DTB), Tokyo International Financial Futures Exchange (TIFFE), Hong Kong Futures Exchange (HKFE), Mercado Futuros Financieros (MEFF), and the Swiss Options & Financial Futures Exchange (SOFFEX).

Aggressively managed custody relationships in Europe, not only for cost, but more importantly, for service levels. As a result, Merrill’s Treasury Settlement Operations were consolidated under J. P. Morgan from Citibank. Controlled foreign relationships and costs associated with FX, brokerage, clearing, custody and exchange fees across all product lines to enhance profitability and service. Worked closely with Euroclear and Cedel to influence direction of depositories to satisfy Merrill’s needs.

Developed an on-line Liquidity Management System, automated product delivery and execution system that brings to corporate cash manager the ability to place short term investments with Merrill Lynch, in a variety of products (Due-bill repo, ML Institutional Funds, FlexiCash, Wire Transfer, CP/Money Markets, Tax Exempts, and Governments, . The LMS system is managed by the Corporate Financial Services (CFS) group, within Institutional Sales.

EDUCATION

Hofstra University - Bachelor of Business Administration, Public Accounting

Villanova University -Six-Sigma Green Belt Certification

Hofstra University – PMP Certification

Attended General Electric-Experienced Management Training School in Crottonville

New York Army National Guard – Honorable Discharge

Expert level knowledge of Excel, Word, Power Point, SharePoint, SQL, Visio, JIRA, MS Project, Access, Business Objects, Six Sigma Tools, PMP-PMBOK (Project Management Body of Knowledge), HP PPM and CA Clarity.

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