Data Security

R onald Ma r tinez

*** ******** ** ********, ** *1237 Cell: 917-***-**** Email:

*****************@*****.***

Summary

Financial Back Office Professional with experience in Security Reference Data, Pricing, Corporate Actions,

Settlements, Compliance and Trade Support.

Experience

2004 –2013

AllianceBernstein LP, White Plains, NY

Security Reference Management Analyst - Operations

•

P roject manager / Business Analyst for medium to large-scale system

•

enhancements, using business requirements and workflow analysis in order to

p rovide solutions, delivery and support.

I dentified work and data f low efficiency gains for improvement by working with IT

•

i n order to review logic used by our vendor data feed (Bloomberg reference data)

w hich was improved, updated or blocked in order to accurately feed data during

n ightly batch file processes.

E nhanced database performance, streamlined processes, performed bulk uploads;

•

ensured that technical and functional designs met business requirements and

S LA.

P rovided workflow metrics of our 3 hubs in White Plains, San Antonio and India to

•

u pper management on a monthly basis.

Tested storage strategies and disaster-recovery at offsite location ensuring an

•

operational database would be accessible in the event of a disaster.

Documented processes and procedures for t raining and consistency for our White

•

P lains, San Antonio and India teams.

Researched, validated and input security indicative data on various internal

•

database applications. Supported accounting inqui ries and reconciled t rade

i nformation between systems.

Worked closely with various groups (Portfolio Management, Trading, Reporting,

•

Performance, Research, Legal and Compliance) in order to resolve discrepancies,

i dentify the cause and develop a business plan all parties agree to.

Supported and initiated various data cleanup projects including credit ratings,

•

i ndustry classifications, coupon rate information, issuer information, and cross

reference information.

P rovided Ad-Hoc coverage such as one on one t raining, reviewed and updated

•

existing procedures, answered inqui ries in a timely manner, archived reports for

audit & participated in infrastructure changes.

•

1999 –2004

S tate Street, Jersey City, NJ

Operations Administrator

•

P rovided Security masterfile support for internal database that at the time

•

contained approximately over 3MM records of which roughly 500K were actively

t raded.

Setup, validated and maintained indicative data for various Derivative, Equity and

•

F ixed Income security types on accounting systems.

P rovided support for Corporate Actions, Client Reporting, Income, Compliance &

•

Settlements departments.

Contacted credit ratings agencies Fitch, Standard & Poor’s & Moody’s for credit

•

r ating validation.

P revented errors by working with internal clients and stakeholders on data

•

challenges.

Core Team member responsible for clearing discrepancies on Quality Control

•

reports.

T rained and supervised a team of 4 consultants to process financial data for

•

cleanup projects so the core team could focus on more complicated projects.

Responsible for providing Management with production statistics for the group’s

•

workflow on a monthly basis.

Participated in conversion projects for implementation of the Global Plus system.

•

Worked closely with the IT department to improve application support and

•

s treamline daily processes and identifying functions which could be done

automatically.

R onald Ma r tinez

•

1999

U BS AG, New York, NY

•

Settlements

•

I ni tiated free of payment t ransactions th rough DTC, EUROCLEAR, CEDEL, and

•

Local Market Sub custodian banks.

Received & delivered physical certificates to and from BBH NY Vault for

•

safekeeping.

Verified physical certificates to confirm if lost or stolen before delivering to BBH

•

N Y Vault.

Received & delivered US Government Bonds through FED with agent bank.

•

Responsible for internal t ransfers between accounts on Global Plus and Portia

•

accounting system.

I nvestigated and resolved t ransactions returned by counter party.

•

Contacted counter party in order to coordinate t rade & settlement dates,

•

depository instructions, security identifiers, positions to be t ransferred, and

currency for outgoing & incoming ACAT t ransfers to ensure timely processing.

Booked t ransactions to client accounts once t ransactions settled with Cost Basis

•

and Purchase Dates if provided.

Calculated Foreign Cost with currency rate if provided.

•

•

1998 –1999

Security Master file & P r icing

•

•

Performed international and domestic security pricing and Masterfile

•

maintenance by utilizing Bloomberg, Reuters & Telekurs vendor services.

Responsible for accurate and timely security setups on Global Plus mainframe &

•

Portia accounting system.

I nvolved in month-end pricing of foreign and domestic securities.

•

U pdated monthly Net Asset Value of various mutual funds by contacting the fund

•

administrator for the latest NAV.

Responsible for daily maintenance of Currency Exchange rates based on the Wall

•

S treet Journal.

•

Education & Training

College

Borough of Manhattan Community College, New York, NY Liberal Arts (A.A.)

Series 7

P r ior NASAA & F I N RA qualification exams

Series 63

General Securities Representative Exam

U niform Securities Agent State Law Exam

E-learning workshops sponsored by A llianceBernstein LP, Bonds – Primary & Secondary

M arkets, Callable Bonds, Derivatives – An overview, Fixed Income – Credit Risk, Options

– A n In t roduction, Swaps – An In t roduction, Trade Processing – An In t roduction and

U.S. Bond Market, Anti-Money laundering (AML) rules, regulations, and compliance.

Skills

•

S killed Bloomberg terminal user via

•

Reuters

•

personal Bloomberg account since

Factset

•

2004

CADIS

•

B loomberg API data downloads via

•

I n teractive Data Corporation (IDC)

•

B loomberg Excel Add-in

C USIP Global Services (CGS)

•

Portfolio Management System

•

M S Office programs Word, Excel

•

(PMS) data

(pivot tables, vlookups and macros),

Depository Trust Company (DTC)

•

Access and Outlook.

research

Moderate Oracle SQL knowledge

•

CAMRA

•

B loomberg Reference Data

•

Quali ty rating vendor data including

•

S &P, Moody’s, Fitch & DBRS

Contact this candidate