Quality Assurance Mechanical Engineer

CHARLES NICHOLS

** ******* ****** 212-***-****

New York, NY 10027 **********@*********.***

SUMMARY

A Financial Services Professional with over 15 years experience in Business

Systems Development. Perform systems analysis, quality assurance, and

project management for Equity Products, Operations, and Purchase & Sales

(P&S). I have thirteen years experience working with the major securities

exchanges, NASADAQ NMS, and Order Management Systems. Acted as liaison

between business users and information systems group, to create

requirements and establish priorities. Solution oriented with an eye toward

bottom line results.

EXPERIENCE

PRUDENTIAL EQUITY GROUP, New York, NY

2003-2007

Subsidiary of Prudential Financial Inc., a small institutional investment

firm specializing in research

Quality Assurance Specialist, Information Systems & Communications Division

. Merged FlexTrade and LAVA Color Palette with in-house trading systems to

increase performance, and boost revenue across desks.

. Converted OTC Trading to BRASS Trading System which increased

productivity, while reducing systems cost by 50%.

. Restored P&S functionality at new subsidiary while providing

uninterrupted transactions processing, and reducing charges/fees by 25%.

PRUDENTIAL SECURITIES INCORPORATED, New York, NY

1994-2003

Subsidiary of Prudential Insurance Company, a leading brokerage firm with

retail branches worldwide. Name was changed from Prudential-Bache

Securities in early 1994.

Business Systems Analyst, Business Systems Development (2000 - 2003)

. Modified multi-company process to identify and segregate transactions for

Wachovia Securities Joint Venture Investment, and new subsidiary.

Rollout was accomplished without impacting either company.

. Managed the Decimalization conversion for Equity Trading and Operations.

This industry-wide mandate was implemented with no impact to the firm's

business model. Represented the company on the SIA street-wide Committee.

Senior Operations Clerk, Capital Markets Operations Development (1994 -

2000)

. Performed Year 2000 testing to upgrade system applications for Equity

Trading and Operations. The Y2K cutover was accomplished without

interruption to transaction processing.

. Served as Subject Matter Expert for equities during conversion of broker-

dealers to Correspondence Clearing subsidiary. These conversions resulted

in increased revenue for the company.

. Integrated NASDAQ Order Handling capability into In-House Trading

Systems for OTC and Third Market. This implementation increased

productivity and efficiency on the desk. The team received Prudential

Business Value Award (company-wide achievement) for harnessing

technology and creative problem solving.

PRUDENTIAL-BACHE SECURITIES, New York, NY

1985-1994

A retail brokerage firm with branches offices worldwide. Prudential

purchased Bache Halsey-Stuart in 1985.

Senior Operations Clerk, Capital Markets Operations Development

Perform systems testing for Equity Products, Operations, and Purchase &

Sales (P&S).

EDUCATION

Bronx Community College Bronx, New York - Mechanical Engineer

TECHNOLOGIES

Windows XP, MS Office, MS Project, IBM/MQ Series, TCAM, VTAM, CICS, TSO,

FIX 4.0 to 4.2, S.W.I.F.T.

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