Project Manager Management

Paul A. Pelis

* ********* ****** ( Lake Grove, NY 11755 ( 631-***-**** (

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

Technology Director

Extensive experience as a solutions provider, using knowledge of Technology

infrastructures and applications, combined with experience in supporting

businesses in the Equity and Fixed Income Markets and their relevant

financial and regulatory obligations, to provide technology-based

solutions. Drives growth and profitability through planning and visionary

leadership.

Computer Skills

Business Applications: Bloomberg TOMS, Fidessa, Reuters, Inforalgo, OnBase,

FIS-Prime, FIS Syndtrak, Impact, FINRA-based services such as OATS, Trace,

ACT

Corporate Applications: MS Office, MS Project, MS Visio, MS SQL

Enterprise, Crystal Reports,

Certifications

FINRA Series 99 Registered Operations Professional

CBCP: Certified Business Continuity Professional

Core Competencies

Strategic Business Planning, IT Strategy, Project Management, Business

Analysis, Finance Industry, Regulatory Compliance, Business Continuity,

Disaster Recovery, Team Leadership, Team Leadership, IT Security, Vendor

Management, Implementations.

Professional Experience

TD Securities (USA) LLC

July 1999-Present

. In charge of the Application Management team for the US Region. The

group provides Technology project management and application

management for vendor-based and in-house solutions that support US-

based businesses in TD Securities. The team was responsible for

documenting business requirements and producing Business Requirement

Documents used to determine Technology deliverables to the business.

. Implemented the Aveksa Compliance Monitoring solution as a tool for

the Access Management group to Control access to applications. This

included producing BRD and System Requirements documentation. In the

initial phase, the application was implemented, integrated with the HR

ERP, and global user attestation solution, and 45 application's access

entitlements were onboarded in 7 months.

. Developed a Managed the development of a Central Access Management

function for the US region for the provisioning of applications and

systems access to meet FFIEC guidelines.

. Migrated Commerce Capital Markets into TD Securities as part of the

TD/Commerce Bank acquisition, including Bloomberg TOMS, migration of

the desktop environment to TD Securities standard, integration of

National Financial Services into TD USA infrastructure, and

integration of market data solutions such as iPreo, S&P, MuniCenter,

and Reuters Dealing into the TD USA technology infrastructure

. Deployed various systems to meet regulatory obligations, and to

satisfy OATS, INSITE, and ALDOP. Implemented the Hyland OnBase

product for document storage to meet SEC 15-a-c-3 retention

requirements

. Launched an Ion WINFits solution complete real-time trade interfaces

to BrokerTEC /ICAP, eSpeed, Bloomberg RFQ, and RMDS Market Data and

STP to Impact back office, within 6 months and within cost estimates

. Managed the Technology migration of the Trading floor server and

application infrastructure. This was part of a $22MM renovation

project. The project entailed coordinating the move of server and

network infrastructure for 20 different applications and Market Data

services with vendors and as part of a build-out of a new Data Center.

. Deployed various systems to meet regulatory obligations, and to

satisfy OATS, INSITE, and ALDOP.

. Implemented the Hyland OnBase product for document storage to meet SEC

15-a-c-3 retention requirements. The system store over 51Million

Reports for consumption by the user community reducing Paper and

Warehouse Storage expenses.

. Directed the migration of all market data services to a new data

center within timeframe and within budget

. Oversaw the design and implementation Business Continuity program

including plan maintenance and testing for 36 Business lines.

. Managed Disaster Recovery site including installation and testing of

the infrastructure and applications.

. Advise Senior Management on both Business Continuity and Disaster

Recovery preparedness from a Technology perspective.

SG Cowen November 1998

- June 1999

Manager

. Responsible for the Business Analysis groups: The team was responsible

for documenting business requirements and producing Business

Requirement Documents used to determine Technology deliverables to the

business

. The team was responsible for implementing the Fidessa application into

the Cowen Equity environment; included developing test scripts to

around the business requirements and testing functionality

. Provided application support to the traders during the initial

implementation, the team

Toronto Dominion Securities May

1995 - November 1998

Project Manager

. Coordinated the implementation of new systems and services in the New

York and Toronto offices

. Managed technology Integration of U.S. Execution business acquired by

TD Securities (USA) Equities business

. Coordinated all systems related issues including the installation of

clearing, market data and order execution systems to accommodate new

business activities

. Coordinated installation of approximately 20 different vendor provided

services including trading systems such as Bloomberg Trading, clearing

agent systems from BNY and ADP, and Market data from Bloomberg,

Cantor, Telerate, First Call, and Quotron

Additional Relevant Experience

Career Note: Further details of prior experience are available on request

during an interview and include:

Technology Support Analyst, Salomon Brothers, Inc.

December 1993-May 1995

. Provided support to Fixed Income Trading floor personnel by

coordinating acquisition and implementation of various technologies

with internal service providers

Senior Hardware Analyst, Federal Reserve Bank of New York

June 1988 - December 1993

. Managed projects relating to services provided by Bank's internal PBX

system and internal LAN. Lead the effort to automate the Division's

functions through the use of PC/LAN based applications

Analyst, Citibank N.A

September 1986 - June 1988

. Analyzed systems performance for an ATM network that provided Citibank

Credit Card and Debit Card holders access to regional and national ATM

networks across the country

Technical Skills

Applications:

Bloomberg TOMS, Fidessa, Reuters, Inforalgo, OnBase, FIS-Prime, FIS

Syndtrak, Impact, Aveksa, MS Office, MS Project, MS Visio,

Server Technology:

MS - SQL Enterprise, SQL Server 2005 and Windows Server 2005

Workstation Technology:

Windows XP, Windows 7

FINRA-based services such as OATS, Trace, ACT

Education

MBA in Financial Management, Pace University- Lubin Graduate School of

Business

Bachelor of Arts in Economics, Fordham University

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