Quality Assurance Management

LOUIS NIEVES

*** ****** *****, ***. *** Bronx, NY 10475 646-***-**** E-mail: Lnieves97@aol

Education

Devry University (Online)

Pursuing Masters Information Systems Management August 2009 - Present

Database Concepts / Network Application / Information security

NYIT – Graduate School of Business

Emphasis: Business Administration – MBA February 2009

Nyack College

Bachelor of Science – Organizational Management / Minor- Psychology 1998

Professional Experience

Andrus Children Center

Residential Coordinator October 2012 - Present

Oversee the residential budget and various forms of quality assurance with Director

E time maintenance, input vacation, personal and holiday, check missed swipes and contact employees for

missed time in order to prepare weekly time reports for managers approval.

Advanced ADP payroll processing and ADP reporting

Maintain OCFS compliance and fire drill compliance

Conduct background searches on prospective candidates and conduct interviews

Responsible for the safe and therapeutic operation of the residential services in all cottages

Assist the Director in planning, monitoring and improving the overall residential services for the residents

Adhering to Sanctuary principles and daily use of the SELF model and using the agency’s mission, vision

and core values to guide the care that we provide.

Milieu Therapist / Student Support (per diem) July 2003 – October 2012

The Depository Trust & Clearing Corporation (DTCC) September 2007 – February 2009

Senior Specialist (DerivServOps) Call Center /Masterfile/Database

Responsible for the maintenance of the Deriv/SERV master files including generating exception reports,

interaction with business development, updating the cross reference table and troubleshooting.

Over-the-counter derivatives, which brings automation, standardization and greater certainty to post-trade

processing in this market (Credit-Default Swaps / Indexes / Tranches)

Analyze OTC derivatives protocols and practices around, DTCC, FpML, DerivServ, Mark-It and ISDA

structured transactions documentation

User Acceptance Testing (UAT) Scripts on Simulation, Production Deriv/Serv System

Novation Consent Enhancement and Implementation testing / Processing

Processing related to both voluntary and mandatory events, such as credit events (voluntary) or successor

events (mandatory). Actions will require a coordination effort between ISDA, our participants and DTCC.

Monitoring and ensuring end-of-day cash settlement of customers’ obligations resulting from the settlement of

payment calculations of derivatives contracts. The process includes set up of account information,

communication with CLS settlement members and day-to-day CLS interface.

Pequot Capital Management, Inc., Westport, CT November 2006 – July 2007

Consultant – Bank Dept

Responsible for maintaining confirmation and settlement of structured credit and distressed bank debt trades.

Work with traders, custodians / prime brokers, outside counsel and counterparties to confirm trades, (clear par)

negotiate complex documentation, pay/receive payments and trade settlement.

Generate funding memos and process loan accruals onto Geneva system.

UBS, Stamford, Connecticut February 2005 – April 2005

Corporate Actions / Settlement/ Administrator - Consultant

Responsible for the processing and reconciliation of corporate actions issues and cash outages versus custodian

Provided coverage for euro clear reports including urgent/unmatched/other unmatched/unsettled trades.

Process daily settlement for Euro clear (Swift) and Domestic trades (DTC) on internal system.

Liaise with Fund Administrator to resolve any operational/settlement issues on Fixed Income.

Confirmed prices and trades amounts on Bloomberg / internal pricing system.

Pareto Partners, New York, NY December 2003 – November 2004

Senior Specialist

Responsibilities include support to investment staff, supervised of NY/London employees (4) on corporate

action, cash / position reconciliation, custodian and prime brokerage relationships, client reporting, trading and

portfolio management system (Portia) and trade confirmation and settlements via Swift and Euro clear.

Allocation of Mortgage Pools to TBA trades and calculation of Pair offs on 15/30yr GNMA/FNMA’s.

Financial reporting on Portia Database system and the set-up of securities, indicative data, pricing and analytics

for a range of products including fixed income, derivatives, and domestic securities.

Directly responsible for implementing and the centralization of corporate actions through automation which

consists of external custodian systems: CDR / Workbench / Inform / Captain.

Monitored and processed time-critical corporate actions (Mandatory/voluntary) via Xcitek system which

included: tenders / consents / rights / warrants / callable / maturities / dividends on domestic securities.

Dividend and Reorganization stock record break confirmation, resolution and reporting.

Assisted management in developing policies and procedures regarding corp. action and maintenance of

corporate actions database/ knowledge of DTCC functions: RIPS and DWAC.

Salomon Smith Barney (Asset Management), New York, NY December 1999 – October 2001

Portfolio Administrator- Consultant (Emerging Markets, High Yield Funds and Fixed Income)

Responsible for the accounting functions associated with institutional portfolios/prime brokers.

Daily reconciliation between custodian bank and internal accounting system-report.

Proactively researching the status of multiple corporate action events for multiple markets.

Review outstanding cash payments for corporate actions and support our Treasury Team with cash projections.

Review and or validate investment accounting entries for corporate actions as they are posted by our custodian.

Reconciled positions per internal accounting system with heavy usage on Excel and Access.

Financial reporting on Portia database system to clients for month-end reports High Yield funds.

Evaluation of fund Performance, independent calculation, verification and analysis of changes.

Weiss, Peck & Greer, New York, NY November 1997 - June 1999

Equity/Fixed Portfolio Administrator

Responsible for daily reconciliation of 50 Institutional accounts for 5 Portfolio Managers.

Monthly reconciliation of Custodian Assets and Transaction Statement to the Portia accounting system.

Heavy interaction with Portfolio Managers to insure Cash balances were fully invested.

Involved on Conversion Project form Sun-Wips System to Portia Accounting System.

Crossed trained employees (6) on interfacing accounting systems (Portia and Sun Wips).

Resolved all trade discrepancies and settlement / Reviewed client performance.

Alliance Capital, New York, NY (Long Term Assignment) November 1996 - October 1997

Equity/Fixed Income Portfolio Administrator- Consultant

Prudential Securities, New York, NY August 1991 - January 1996

Profit & Loss Analyst -Law/Compliance Dept.

Prepared profit and loss reports and analyze customer trading and interest activities, which included: Equities,

Mutual Funds, Municipals, Mortgage Backed Securities, Limited Partnerships.

Generated visual exhibits for attorneys for arbitration/mediation hearings.

Reviewed individual customer accounts for compliance related issues: churning, suitability, profit & loss,

turnover on accounts in accordance with NASD/NYSE regulations.

The Bank of New York, New York, NY May 1987 - March 1991

Portfolio Accountant \ Auditor

Responsible for validity, accuracy and timely proofing of over 360 accounts with assets of $3 billion.

Reconciliation projects and with Auditors and special ad hoc request, assessments on performance on interns

Reconciled interest income, cash, accrued interest, distributions, bond calls/sale and position breaks.

Prepared audit work papers for four major clients and worked closely with clients’ auditors.

Prepared unit holders’ annual reports which entails preparing portfolios from inception

Duties included transferring physical certificates to unit holders and maintaining proper registration.

Responsible for ensuring the accuracy of documents. Acquired knowledge of legal requirements on bond

certificates and learned to work under strict deadlines.

Computer Skills:

Microsoft Windows 7 / 2000 / XP / Professional / Server / Microsoft Access / Excel / Bloomberg / Portia / Geneva /

Xcitek Solution Plus / ADP, Staars, Smartstream, others internal banking systems.

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