Peter McGarty

845-***-****

ac1lts@r.postjobfree.com

Summary

A proven Manager and Business Analyst with diverse experience. I have developed operational procedures that have reduced costs, saved time and created efficiencies. I have the ability to be an asset in both a Back Office Operations position as well as an Information Technology environment. Ability to manage, research, analyze, test theories, implement ideas and document all findings. Skills/Knowledge:

MS Office MS PowerPoint Visio SharePoint JIRA MS Project Fidessa Broadridge Alert OASYS and OASYS Global

Equity Operations KYC/AML User Acceptance Testing (UAT) Regression Testing Capital Markets Disaster Recovery Workflows * Settlement reconciliation Production Support and Trouble Shooting BRD/FRD * Offshore modeling and management

LinkedIn profile: https://www.linkedin.com/in/petermcgarty/ Experience

Fidelity Investments December 2008 – June 2015

Senior Project Manager

Project Manager for International processing/settlement system.

Provided project management consulting services to the Institutional Products Group for the deployment of the strategic settlement system (Shadow Suite) project in conjunction with the larger International and Self-Clearing project initiative utilizing the Fidelity Systems Delivery Methodology (FSDM).

Responsibilities included the project management activities to work with client and the development teams to ensure that client expectations were met.

Responsibilities for over 100 individual projects "within the project".

Chaired and led regular Project status meetings with users, vendor and management (Technology and Business).

Disaster Recovery coordination, testing and updates.

User Support

Vendor Liaison

BRD review and updates

Issue tracking and resolution.

User and Systems requirement documentation.

Statement of Work review, approval and budget management.

Budget control.

Procedures development for new processes and functionality.

Invoice review and processing.

Assisted QA with test case scenarios and scripting for new functionality.

Release time line planning.

Project planning.

Regular weekly meetings with key business partners to review requirements, testing and release status’.

Corporate Actions processing support for Equity products.

End to End processing support or Equity and Fixed Income products. HSBC Securities (USA) Inc. November 2007 – November 2008 Senior VP/Business Manager - Equity & Retail Operations

Oversaw key efforts to track and monitor budgets, costs, and operational allocations for the 2nd largest bank in the world, processing several thousand trades each day.

Closely partnered with business entities to ensure alignment for customer and corporate strategies.

Compiled, collated, and analyzed a wide range of statistical and financial data. Compiled Department weekly/monthly KRI (Key Risk Indicator) reports.

Participated in KPI (Key Performance Indicator) discussions at weekly COO and Senior manager meetings.

Active member of global working groups involved in various areas, such as Regional Manager Meetings, Global Trades Processing System Implementation, and Global Agents Costs Review. o Saved $2 million annually by reallocating cost charges to London and Hong Kong affiliates; introduced related processes to achieve further savings of almost $1.5 million each year through better vendor contract negotiations and administration.

o Developed and instituted a procedure documents template to facilitate document review for format and content; finished this project within only three months.

o Selected as Business Resumption Coordinator, Business Information Risk Officer, IT Liaison, and Operations Project Leader.

Assisted in reduction of overall operational costs to the business, over $2 million annually.

Served as Business Resumption Coordinator, Business Information Risk Officer, Operations Project Leader and I.T. Liaison.

Daily management of Risk reporting.

Vendor Liaison, including Broadridge (ADP/BPS) and OMGEO (Oasys, OGD, Alert)

Worked with Broadridge (ADP/BPS) product specialists to review HSBC use of the application functions in CAGE,

Div/Reorg and P&S.

Developed format of and rewrite of all departmental procedure documents.

Member of global working groups including International Settlement System Upgrades, Global Trades Processing System

Implementation, Global Agents Costs Review, Regional Managers Meetings Sr Vice President, Project Manager January 2005 – November 2007

Led NY team in implementation of global Client Services Account Opening system.

Analyzed all operational requirements, assisted Information Technology with mapping requirements and led the operations team in implementation of auto processing of clients’ standard settlement instructions.

Wrote all departmental documentation including account opening procedures, business requirements and implementation plans.

Assisted in creation of and training of off shore “Center of Excellence” (Bangalore, India) for all account opening/maintenance functions.

Vice President - IT/Manager January 2001 – January 2005 January 1997 – January 2005

Organized and directed teams of cross-functional professionals in launching an automated Trade Processing system, along with related applications.

Finished this project on time and within budget in connection with Equities, Front Office, Back Office, and Compliance groups.

Designed a main account opening application and database with links to vendor systems, Broadridge (ADP), Broadridge (Impact), and OMGEO (Alert).

Saved $120,000 each year by outsourcing printing tasks for daily confirm and monthly statement preparation.

Acted as Firm Coordinator for Decimalization and Equities Coordinator for Disaster Recovery Operations relating to Y2K.

Managed the development team responsible for support and development of the International Settlement System, FISCAL.

Worked closely with the development team and management team in London. Vice President, Project Manager, Business Analyst Info Technology January1997 – January2001

Led team that developed and implemented an automated Trades Processing system. Successfully implemented on time and under budget.

Outsourced daily confirm and monthly statement printing resulting in cost savings of approximately $10,000 monthly and more efficient delivery.

Designed a main account opening application and database, managed the development team, spearheaded system and user testing and coordinated all training. System has links to vendor systems, Broadridge (ADP), Broadridge (Impact) and OMGEO (Alert)

Equities coordinator for Y2K Project Office.

Firm Coordinator for Decimalization.

Equities Coordinator for Disaster Recovery Operations. VP – Operations January 1995 – January 1997

Oversaw all daily business operations involving trades processing, purchasing, sales, new account opening (including KYC and AML) and maintenance, and reconciliations for both domestic and international equities teams.

Liaised with IT and back office staff on numerous projects and process enhancements. Acted as liaison between back office and Information Technology development on projects and system enhancements.

Spearheaded the establishment of an auto match facility to support affiliates, utilizing OMEGO OASYS Global. Gained a solid reputation for quickly troubleshooting and resolving financial and operational issues.

Assisted technology teams and staff with implementation and testing of Broadridge ADP and interfaces to internal systems. Baring Securities 1993 – 1995

Vice President, Operations

Managed the day to day operations of Trades Processing, Purchase and Sales, New Accounts and Reconciliations for both the International and Domestic Equities teams.

Acted as liaison between back office and Information Technology development on projects and enhancements.

Created BRD’s for business enhancements

Implemented process and technology solutions for Trades Processing and New Accounts

Worked with Settlements team to troubleshoot issues James Capel, Inc. 1987 – 1993

Assistant VP, Operations

Performed daily trade reconciliations with overseas offices.

Managed New Accounts, Trades Processing and Trades Confirmations teams.

Assisted in design, performed testing and oversaw implementation of new Trades Processing system and automation of trade confirms with Thomson’s Global Oasys.

Worked with Settlements team to troubleshoot issues

BRD creation for new system enhancemnents

BroadCourt Capital (Merrill Lynch) 1985 – 1987

Customer Services Representative

Answered and tracked all client calls.

Followed up to resolution all inquiries.

Handled 1099 inquiries and creation of amended 1099s as needed.

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