Project Manager Management

[pic] Joseph M. Thomas

ab830y@r.postjobfree.com Phone: 914-***-**** 166 Pritchard Avenue,

Thornwood, NY 10594

Financial Operations Executive

Focused and results-oriented Financial Operations Executive with 20+ years

of experience within the financial industry. Offers an expansive and

versatile skill set in fund operations, investment banking, and asset

management to build and sustain financial operations that achieve top-

performing levels of cost effectiveness, revenue generation, and

productivity. Implements tactical process improvements to deliver impactful

and accelerated enhancements to financial activities. Subject matter

expertise in both established and startup finance environments. Proven

ability to critically evaluate and respond to rapidly evolving financial

environments. Aligns all operations initiatives with strategic

organizational goals.

Areas of Expertise:

Financial Operations - Strategic Planning -Administration-Section 404 of

SOX- Collateral Management-Accounting-OTC Derivative Clearing-Swaps-Swift

Payments - Reconciliations - Regulatory Compliance - Dodd Frank- P&S-

Settlement- Asset Management - Fund Operations - Project Management -

Corporate Equity-Risk Management -Cash Flow Forecast-Budgets-FX-

Relationship Management Reporting -Margins - Trade Support - P&L -

Corporate Arbitrage - Foreign Trading-EDT-- AML-KYC - Project Management -

Client Service - Audits - Investment Banking -Treasury Management -Human

Resource and Benefits-Settlements-Audits-Data Warehousing-Correspondent

Clearing Service-RIA-NASDQ

Professional Experience

Northeastern Consulting Inc. - Bridgewater, NJ 02/12-Present

Organizational Development Consultants

Consultant

Review and Advise on Proposals

Review and Advise on support for current Corporate Finance Client

Treasury Analysis

Operations Analysis

McMahan Securities LLC - Greenwich, CT 1990 to 2011

Financial services and asset management firm.

operations

Oversaw all back office operations to maintain efficient, profitable, and

compliant financial activities. Provided robust leadership encompassing

trade support, reconciliations, margin requirement and P&S breaks,

securities, settlement and trade dates, and dividends. Managed all bank

accounts to ensure balance and proper closing of all banks. Conducted daily

assessment of checks and wires. Authorized all checks and wires. Integral

contributor to preparation of accounting focus reports, delivering all

necessary items to department for FINRA, reconciliations, and P&S trades.

Produced Firm Liquid Asset report. Coordinated with clearing house, prime

broker, and trading desk to achieve all objectives. Regularly monitored

P&L.

Developed and implemented strategic business plan for enterprise, focusing

on financial operations. Drove monthly reconciliation of both domestic and

international bank accounts. Calculated margins for dividends and coupon

interest, and offered expertise surrounding trade breaks. Ensured

regulatory compliance with all company, state, and federal requirements.

Managed yearly audit activities, partnering with accounting to successfully

complete all internal and external audits alike. Built and maintained

professional relationships with all mission-critical partners to improve

operational efficiency. Hired and trained all department personnel.

. Successfully completed all SEC and FINRA department audits swiftly and

efficiently.

. Responsible for setting up trading desk for STP

. Worked with Programmers and Clearing House on creation and updating of

reports. Led numerous projects creating leading edge reports and

utilizing them to developed workable business solutions that resulted in

improved operations and Compliance.

. Project Manager for numerous projects for operations resulting in

decreasing risk and reduce operations budget by 50% .

. Main contact for both the firm and clearing house and clients regarding

problems and reports.

. Increased efficiency and functionality through integration of ROX front-

end trading platform with internal priority systems.

. Worked with Investment Banking Unit to introduce new issues

. Worked with in house developers and Clearing House to develop

reconciliation reports.

. Worked with traders on strategies.

. Successfully negotiated all Clearance Agreements.

. Conducted extensive analysis of job duties, expectations and performance

levels to identify training needs.

. Created original and innovative employee training program by developing

curriculum to teach needed skills.

. Worked on Cash Flow Forecast, Firm Liquidity, Market Risk.

. Responsible for trading and P&L Forensic when needed.

. Responsible for producing reports to minimize risk.

. Worked with CFO to implement performance metrics

Centaur Performance Group - Greenwich, CT 1999 to 2011

Firm delivering investment banking and financial services expertise.

Senior Operations Consultant

Maintained effective function of financial activities and collaborated with

business executives to outline short and long-term business plans. Directed

audit, accounting, and reporting operations. Delivered expertise spanning

reconciliations, treasury management, settlements, dividends, trade dates,

P&S breaks, trade support, NAV, management of clearing house, prime

brokers, and trading desk. Verified trading strategies and overviewed all

checks and wires. Calculated margins on regular basis. Conducted end-of-

month reconciliation of all bank accounts. Communicated with clients to

ensure satisfaction and worked with administrators of accounts.

. Instrumental in building hedge fund operations and trade support from

start-up.

. Hired and trained Back Office Operations and Trade Support for North

Carolina, London, and Dubai.

. Assisted clients in any problems and reviews of the trading account.

. Verified P&L on a daily and monthly basis of all accounts.

. Key member of Committee accountable for Prime Broker negotiations and

acted as subject matter expert to Prime Brokers regarding account on-

boarding and training.

. Verified Contributions and Withdrawals and booked them.

. Worked with outside Administration firm.

Education & Training

Bachelor of Arts in Economics - Montclair State University - Upper

Montclair, NJ

Human Resources Management Training - SIFMA Securities Operations

Technical Portfolio

Bloomberg - Charterhouse - Axys - Advent - Great Planes - MS Small Business

- Geneva - ADP - DTC

Association membership

Financial Management Society

Board Member for the Mount Pleasant Citizen Advisory Board on Education

(2010-present)

Board Member New York Raptors (Hockey Team for children with Disabilities.

Member of Mount Pleasant Search Committee for Director of Special

Educations

Senior Consultant National Cristina Foundation

Contact this candidate