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Manager Information Security

North Bergen, NJ, 07047
October 31, 2018

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**** ********* ****, ***. ***

North Bergen, NJ 07047

(P) 302-***-**** (E)


25+ years of financial services experience in highly competitive markets. Areas of expertise include:

• Fund Administration and Client Relationship


• Corporate Compliance Monitoring

• Global Corporate Actions

• Corporate Trust Administration



MS Office Suite

Adobe Acrobat

Impress Imaging


Operating Systems / Languages





Financial Systems


Partnership System LPS

SunGard ACS

FIS-Protegent PTA


Prudential Financial, Inc. – Securities Monitoring Unit Manager - Compliance

Newark, NJ February 2016 – Present

Manage a team of four Compliance Analysts providing risk management and data analysis on employee trade functions within the compliance department to ensure the security and integrity of highly sensitive information for all employees throughout the company, including Senior Officers and the Board of Directors.

Provide oversight during the review and distribution of daily, weekly, and monthly reports, preclearance approvals, trade exceptions and data validation of internal and external electronic brokerage feeds.

Manage Control Room operating processes, wall-crossings, maintenance of Restricted lists, ongoing and pre-deal transactional clearance and MNPI access to resolve any real or perceived conflicts of interest.

Coordinate the Annual Personal Securities Trading Policy Attestation on all domestic and international employees. Manage the testing of the distribution process, assuring all monitored employees are properly classified and collaborating with business unit Compliance Officers to ensure timely receipt of all required attestations.

Administer and further develop Prudential’s Personal Securities Trading Standards in conjunction with SEC Regulatory requirements.

Conduct training to monitored employees and compliance officers on the functionality and requirements of the Personal Securities Trade system, FIS Protegent PTA.

Reconcile the assignment of division classification for all business corporate entities to ensure the accurate monitoring classification is applied to all new employees.

Lead and participate in special group projects as needed.

Support the testing of all new builds to the FIS Protegent PTA application.

Coordinate a monthly Compliance Business Unit meeting to discuss policies and procedure requirements and updates, as well as review best practices to determine the appropriate treatment of various compliance/regulatory topics.

Draft written Standard Operating Procedures (SOP) for the appropriate implementation of regulatory requirements, rules and standards.

US Bank – Global Corporate Trust

Corporate Trust Analyst

New York, NY September 2010 – February 2016

Reviewed governing documents and financials pertaining to newly-closed corporate trust deals to establish requisite accounts on various internal and industry-standard banking systems.

Performed OFAC screening of entities and individuals required by KYC matrix. Document and report all potential findings to AML officer.

Verified all required regulatory and tax filings (W-2, W-8BEN, 10K, 10Q) were completed prior to establishing trust accounts and deal closings.

Coordinated closing-day cash and asset movements via wire transfers and DTC.

Transferred closing proceeds into various investment vehicles per governing deal documents or written instruction from bond counsel.

Managed reviews of all new accounts within required deadlines to ensure all SLAs were met.

Tracked and coordinated payment of periodic issuer debt service obligations.

Generated financial statements for auditing purposes and in adherence with with state and federal compliance regulations.

Oversaw periodic auctions to set variable LIBOR based interest rates for numerous municipal bond issues. Department of Labor – Division of Employment and Training Employment Services Specialist

Wilmington, DE 2009-2010

Developed comprehensive employment and training plans for clients to qualify them for the workforce.

Provided job and career counseling from assigned caseload before and after job placement. PNC Global Investment Services

AIS Manager

Wilmington, DE 2003-2008

Managed nine auditors responsible for recordkeeping, reporting, account administration, reconciliation of capital activity and shareholder allocations.

Coordinated Partnership Capital inflows and outflows with Fund and Relationship managers in excess of $150 million monthly.

Prepared monthly financial statements in conjunction with Accounting Department.

Processed and managed all subscription trades and applications, Fed wire transactions, investor reporting, compliance and AML requirements.

Maintained Hedge Fund and Private Equity Investor records in compliance with corporate policy and procedure, in accordance with state and federal regulations.

Analyzed productivity issues and system enhancements resulting in 50% increase in turnaround.

Provided report analysis to IT as Subject Matter Expert (SME) during system testing.

Prepared monthly Investor statements and year-end tax documents, including K-1, 1099, 5498 and tax estimates. The Bank of New York Mellon – Reorganization Department Supervisor

New York, NY 1998-2003

Supervised team of six specialists supporting Global Corporate Actions.

Balanced and proofed daily position movements and cash activities.

Prepared cash flow reports and communicated status and risk exposure to management.

Coordinated audit examinations with internal and external auditors.

Managed and delegated mutual fund related client inquiries, including confirmation of trades, balances, fund rates and dividends.

Administered system access between business unit and Information Security. REFERENCES PROVIDED UPON REQUEST

US Bank – Corporate Trust Operations

Lead Service Representative

New York, NY 1989-1998

Administered and processed various investment instruments, including Commercial Paper, Medium Term Notes, CD’s and Bankers’ Acceptance Notes.

Primary contact for client system link installation.

Prepared and balanced the daily funds maturities and disbursements.

Responsible for the preparation and distribution of monthly audit and escheatment procedures. Prudential Bache Securities - Dividend Department

Investment Specialist

New York, NY 1987-1989

Maintained and processed dividend payments for Corporate and Municipal investments. EDUCATION

Mercy College, New York, NY

BS – Business Administration: Finance 2018

The Chubb Institute, Jersey City, NJ

Computer Information Systems / Tech support 1995 College of the Bahamas, Nassau, Bahamas

Associates degree, Business Administration 1986

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