Project Manager Quality Assurance

Business RBC Capital Markets

Experience Manager - Investment Banking Product Control Group

: */**** ** ******* *** York, NY

Product Controller - Municipal Finance

**/**** ** ******* *** York, NY

Manage three primary Product Controllers for Municipal Finance, US

Investment Banking, and Corporate Lending that generate over $1 billion in

revenue for the firm.

Act as the main point of contact and maintain relationship with Municipal

Finance investment bankers through the country for all matters pertaining

to revenue recognition.

Act as the main point of contact for internal and external personnel,

including the Business managers, various Finance and Operations managers,

internal and external Auditors and Accounting Policy Group.

Responsible for facilitating, documenting, and implementing accrual basis

revenue recognition processes and procedures for Co-Manage fees by

collaborating with the Business, Syndicate Operations, and Finance.

Responsible for migrating all front office roles and responsibilities

pertaining to revenue events for Municipal Finance to the Investment

Banking Product Control group, and documenting and implementing affective

procedures and controls in place to reduce manual intervention and

man-hours and improve efficiency.

Responsible for migrating P&L reporting and month end functions for

Corporate Lending from Finance to the Investment Banking Product Control

group, and creating and implementing affective procedures and controls.

Responsible for delegating various finance roles and responsibilities

amongst staff members.

Responsible for evaluating performance reviews.

Responsible for interviewing new Product Controllers.

Produce and maintain daily P&L activities for Municipal Investment Banking

business, such as long term origination, tax credit equity group and

municipal lending and report to the head of Municipal Finance locally and

to the head office in Canada.

Provide daily commentary for P&L activities and ensure that variances to

banking estimates are adequately explained, reported P&L is reconciled to

general lodger and inventory and related accounts on the balance sheet are

substantiated.

Responsible for manual calculations and allocations of banking/trading

revenues, such as remarketing and designation fees, realized and

unrealized trading P&Ls, and commissions, per the revenue sharing

agreement, between Municipal Investment Banking and Municipal Sales,

Trading & Underwriting.

Work closely with Accounting Policy Group locally and with head office in

Canada, Financial Control and Front Office in interpreting various US GAAP

and IFRS policies for investment banking, such as revenue recognition and

expense gross up.

Responsible for accuracy and completion of month/quarter end

reconciliation procedures, which includes extracting data from various

front, middle and back office systems, calculating and allocating banking

revenues, making manual entries to general ledger, preparing month end

binder with pertinent economics for Financial Control review of the books,

and attesting to balance sheet activities.

Work closely with Technology and Front office on various projects for

systems improvements and implementing strategic and tactical solutions for

the banking business.

Work closely with various business units and other controllers on projects

and adhoc P&L related requests.

Responsible for training other Product Controllers of the banking business

group for back up.

PricewaterhouseCoopers, LLP, Assurance Services - Banking & Capital

Markets 1/2009 to 10/2010, New York, NY

Planned and performed assessments of business risk, process optimization,

regulatory compliance (e.g., SEC Rules and SOX), internal control, and the

efficiency/adequacy of business systems for a large prime broker and

execution and clearing firm (key client: Goldman Sachs).

Planned and executed agreed-upon procedures relating to NYSE Rule 104(h)

and the review of a NYSE Specialist system employing algorithms.

Planned and performed assessment of business process control in support of

multiple SAS 70 Type II assessments and related business process control

objectives and activities.

Business process exposure included equities proprietary trading, p&l

reconciliation, securities pricing, securities lending, clearance &

settlement, dividends and corporate actions, account transfers and new

accounts.

Nominated for an Assurance Services recognition award by an engagement

partner.

Performed financial statement audit for a French bank in support of an

International Financial Reporting Standards (IFRS) consolidation focusing

on cash, loans receivable and treasury balances, treasury profit and loss

reconciliations, and performing related analytics and substantive audit

procedures.

Kept abreast of current technical accounting pronouncements and

incorporate into the audit plan.

Led discussions with clients over prime broker / execution and clearing

processing including controls around account implementation / maintenance,

trade execution, trade capture, trade confirmation and settlement,

pricing, and lifecycle events.

Managed project economics by creating a project plan and initial budget,

tracking budget-to-actual, proactively monitoring resource capacity, and

forecasting hours required for completion of the engagement.

Mentored junior staff members on various financial services related

topics, including trading and brokerage operations process.

Lehman Brothers, Project Manager, AVP

6/2005 to 11/3/2008, New York, NY

Managed cross-divisional projects for fixed income trading, sales and

operations, and implemented strategic business plans focusing on

productivity and process improvements.

Acted as a lead business analyst in reengineering of client valuations

model for pricing and valuations of various complex fixed income products,

such as mortgages, high grade bonds, high yield bonds, collateralized debt

obligations and index bonds.

Managed derivatives confirmations projects and related work streams for

the processing and generation of legal confirmations for structured

products, such as credit default swaps, swaptions, forward rate

agreements, and routing electronic confirmations to DTCC.

Managed strategic projects for futures operations for establishing new

business relationships with major futures exchanges like Tokyo Commodity

and Brazilian Mercantile & Futures Exchanges, for creating a trade

allocation engine for futures trading, and for implementing a global

reconciliation engine for futures trading for prime brokerage services.

Created flowcharts and document transaction flows for the processing of

exchange traded and OTC derivative instruments, including trade

affirmation, legal confirmation, lifecycle events, position and

reconciliations with counterparties, collateral management and third party

vendor systems utilized.

UBS Financial Services, Project Manager, AVP

4/2000 to 6/2002 & 1/2004 to 5/2005, Weehawken, NJ

Managed various projects for taxable fixed income proprietary trading for

the processing of Electronic Communication Network (ECN) trade flows,

fixed income offerings management, clearance & settlement, and regulatory

reporting (Act and Trace).

Fixed income product exposure includes corporate bonds, mortgages,

agencies, treasuries, preferreds and structured products.

Liaised between users, sales and traders, and fixed income software

developers, Bond Desk, and worked closely with senior management to

streamline pertinent technology solutions to support fixed income trading.

Defined business requirements for the development of proprietary trading

applications and dealer-to-dealer order flows, and implementation of

pricing and analytical tools.

Certified all phases of Quality Assurance testing including unit testing,

regression testing, user acceptance testing and production release check

out, and created and maintained test scripts for all product areas to

ensure quality deliverables.

Prudential Financial, Financial Planner

11/2002 and 12/2003, Fort Lee, NJ

Sun America, Business Analyst

12/1998 to 4/2000, New York, NY

Liaised between business units and developers to create an in-house

equities and mutual fund trading and multi-functional brokerage

application.

Defined business requirements and guided initiative through software

development and project lifecycles to ensure timely delivery of milestones

and objectives.

Documented and maintained an in-house application help desk manual for the

help desk department.

Datek Online Brokerage Services, Equities Trading Representative

1/1998 to 12/1998, Iselin NJ

Acted as a trading facilitator to execute unsolicited orders via the

Island ECN, electronic communication network, Select-Net, SOES, and

Watcher system, NASDAQ level II.

Established effective working relationships with various Market Makers to

execute Bulletin Board/OTC stocks.

Resolved equities trading disputes and inquiries using the NASDAQ level II

quote system, ISLAND, as well as ILX Workstation.

Education: BARUCH COLLEGE, Zicklin School of Business

Master of Business Administration (MBA), December 2008

Concentration in Accountancy, GPA: 3.6/4.0

Relevant Coursework: Financial Accounting, Intermediate Financial

Accounting, Advanced Financial Accounting, Contemporary Topics in

Accounting, Financial Decision Making, Auditing, Micro/Macroeconomics for

Managers, and Taxation

COLLEGE OF NEW JERSEY

Bachelor of Science, May 1995

Concentration in Pre-Physical Therapy

Licensure NASD Licenses: Series 4, 7, 24, 63, 65

Status:

Skills: Microsoft Excel (pivot tables, v-lookups, offset and if functions), MS

Access Database, Microsoft Project, Microsoft PowerPoint, Microsoft Visio,

Microsoft Front Page, and Microsoft Word

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