Customer Service Management

NICOLE RENEE CAPERS

**-* ******* ***** ********, CT 06902 203-***-**** ******@***.***

EXPERIENCE:

**/** - **/** *********** Consultancy

Business Analyst

Clients: Bank of America, Morgan Stanley

Enterprise Risk

Communicate with Global Risk LOBs, Stakeholders, Technology, and Compliance

for analysis of existing differences in definitions between Finance,

Regulatory Reporting, and Capital credit risk exposure measurements in

order to streamline and establish clarity for audit control and governance

processes, including required enhancements of data management and

regulatory reporting to improve transparency of Operational Risk across the

Enterprise

Develop improved process automation and referential reporting capabilities

for reconciliation of approved risk metrics representing Accounting, Risk,

and Capital views in accordance with Basel II and Dodd-Frank regulatory

requirements

Enable utilization of Metacenter metadata and data lineage for enhancements

to sourcing of underlying data files, dependent upon sourcing

systems/providers across Summit platforms within Enterprise Risk Data

Management

ISG Product Services

Interact with members of Securities Processing Operations, Stakeholders,

Technology, and Compliance on audit issues that affect current operational

procedures, liaising with various levels of contacts across the Firm

globally, implementing and maintaining processes to establish a renovated

platform to mitigate risk for Front, Middle, and Back Office Operations

Liaise between Business Users and Technology to define and document

business and functional requirements

Analyze databases and spreadsheets to complete data mappings which drive

requirements and specifications

Create and execute User Acceptance Testing and User Testing scripts for new

software version

Track defects, enhancements requests, issues and questions in Quality

Center

Document new processes and procedures (i.e., flow charts, standard

operating procedures and training materials)

Conduct Business User training sessions and demonstrations

03/10 - 09/11 Dexia Credit Locale, New York, NY

Data Quality Services

Senior Analyst

Provided day-to-day static data maintenance of Fixed Income and Equity

trade workflow for Front, Middle and Back-Office Operations including

security setups, payment schedules, principle reductions, factor and

pricing updates according to Bloomberg

Performed reconciliations and data uploads of rates, prices and

volatilities for the accurate structure and use of financial curves for

Trading and Risk Management PnL assessments

Compliance of credit risk management and data integrity through regulatory

reporting of KYC policies and procedures pertaining to OFAC, BSA and AML

Executed UAT business requirements for developing, implementing, and

maintaining process improvements in order to provide quality control of

risk metrics referential and market data within Murex, Midas and iTAP

Participated in projects related to the automation of manual

reconciliations, maintenance of data quality and straight-through

processing of Fixed Income and Equity trade executions within Recon+ and

NetX360

03/07 - 03/10 Independent Consultancy

Business Analyst

Clients: LBBW, Legg Mason, City Practitioners Inc.

Treasury Operations

Provided Middle Office support of all Money Market trades: Loans and

Deposits, Term Deals, Rollovers, Commercial Paper, CD's, and Repo's

Liaised between Traders, Prime Brokers and Broker-Dealers to troubleshoot

all trade related discrepancies

Documented and confirmed daily P&L activity between Front and Back Office

Operations

Global Asset Management

Managed daily trade activity in Bloomberg for Equity trade desk in London

Resolved trade settlement discrepancies between Traders, Custodians and

Brokers

Provided data maintenance on all new and existing Client accounts in ALERT

Murex Applications Support

Responsible for day-to-day support, analysis and enhancement of Murex

pertaining to P&L, application support, credit risk, regulatory reporting,

configuration, implementation, upgrades and testing

Interact in-house with Trading, Finance, Operations, Product Control and

Risk Management staff to resolve user queries relating to the MUREX

application

Effectively communicate key control issues regarding the impact of Fixed

Income and Derivatives processes with all levels of staff in the user

community and other support groups

09/05 - 03/07 AllianceBernstein, White Plains, NY

Equity Operations

Equity Settlements Assistant

Monitored daily unmatched reports received from both Brokers and Custodians

to ensure timely settlement of unmatched and pending Global / Domestic

Equity trades in both Euroclear and DTC

Responsible for daily trade affirmations with Brokers via OASYS and

confirmations with Custodians via AutoMatch

Processed trade executions and tax lots of Emerging Market trades via SWIFT

Interceded externally between Brokers, Custodians and Clearing Agents in an

effort to properly investigate and resolve all failing trade related

discrepancies

Maintained and updated data administration on all Client account SSI's in

ALERT

Liaised with Trade Support, Portfolio Management, Legal and Sales to

resolve any internal settlement related reconciliation breaks

11/00 - 09/05 Independent Consultancy

Senior Analyst

Clients: Morgan Stanley, Deutsche Bank, HSBC Bank USA

Treasury Operations

Full trade support of Fixed Income, Equities, and Derivatives products both

domestic and offshore including: FX, Options, Futures, Repo's, CD's,

Commercial Paper, Call Loans, Term Deals, Rollovers, FRA's, Swaptions,

Credit Default and Interest Rate Swaps

Drafting, negotiating and chasing confirmations for proper ISDA

documentation of settlement instructions with counterparties via email,

phone and fax

Reconciliation of general ledger entries in both Oracle and Smartstream

Liaised between Traders, Prime Brokers and Broker-Dealers to troubleshoot

all trade related discrepancies

Evaluated mid-month and month-end interest settlements ensuring that all

rates and calculations are accurate

Monitored and recorded daily cash activity and end-of-day cash settlement

through sub-custodians and depositories

Net down payments for end-of-day funding and reconcilement of daily funding

against P&L reporting

Facilitated static data maintenance for all securities located in Bloomberg

Analyze testing results of in-house system enhancements in order to

efficiently support the conversion of all new clients

Money Market Operations

Lead consultant project in the reduction of over 9,000 outstanding backlog

investigation cases due to bank merger

Responsible for the settlement of Time Deposits, Option Drawdowns and Money

Market trades

Resolved discrepancies with counterparties to ensure timely settlement and

to prevent receivable/payable items from aging

Implemented process improvements and modifications to enhance quality

control of Customer Service Operations procedures

EDUCATION: Pace University, New York, NY

Presently pursuing a Bachelor of Science degree in Finance

SKILLS: SQL, UNIX, MXML

COMPUTER

SOFTWARE: Bloomberg, Reuters, Euroclear, DTC, NetX360, CLS, Chase

Insight (CPS), ADP, Misys (CMS), Advent Geneva 6.0, FXAll, ALERT, OASYS,

TSLink, TAPS, iTAP, SIRen+, Kondor+, Murex, Midas, PRIME, Recon+, Calypso,

Tropics, Opus, Finexus, Summit, Bankers Trust Noteline, Leo, SmartStream,

IntelliTRACS, IntelliMatch, Pegasystems, Montran, Merva, Devon,

Wordperfect, Lotus Notes, Microsoft Excel, Microsoft Access, Microsoft

Word, Microsoft Outlook, Microsoft Powerpoint, Microsoft SharePoint,

Microsoft Visio, HP Quality Center, SAP BusinessObjects, Intuit QuickBooks,

Oracle ADI, Adobe Acrobat 5.0, Yardi

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