Analyst Sales

DAVID WALKER

*** ********* ****** **********, ** 45205

201-***-**** acfiqr@r.postjobfree.com

PROFILE

Accomplished Banking/Brokerage Sales Professional with proven ability to

effectively manage demanding high priority areas. Possesses excellent

communication skills to enable effective interaction with all levels of

staff and management. Knowledgeable with the following systems: Gloss,

Rolfe & Nolan, SunGard/Phase 3, Broadridge/ADP Packages: BPS/ADP,

Workflow/ADP, ICI/Impact, and CICS/ADP

PROFESSIONAL EXPERIENCE

Focus Workforce Solutions LLC - VP Business Development (12/11- Current)

Building market position by locating, developing, defining, negotiating,

and closing business relationships. Locates or proposes potential business

deals by contacting potential partners; discovering and exploring

opportunities. Develops negotiating strategies and positions by studying

integration of new venture with company strategies and operations;

examining risks and potentials; estimating partners' needs and goals.

Closes new business deals by coordinating requirements; developing and

negotiating contracts; integrating contract requirements with business

operations.

Consulting Engagements

BNY/Mellon/Pershing LLC - Risk Assessment/Business Analyst

(04/10-11/11)

Global Clearance and Settlement- Risk based model review of all process

flows. Current risk, Existing controls, Best practices, Process mapping,

Control matrix, Gap analysis, between NJ and Florida sites(COD, ADR/ORD

Arbitrage, Rule 144 Sales, F/X settlements, Govt/ Fixed income settlements,

DTC settlements groups, and International settlements).

JP Morgan Chase Test Mgr/Business Analyst

(10/08 - 05/09)

System Integration and Management of the Broadridge/BPS-User Acceptance

Testing teams. Work with client for the creation of Test plans and Test

scripts. Management of Test Scripts and, execution of Test Scripts for

given Workstream, tracking all issues/ defects in relation of assigned

areas (Trading, Listed Options, and Settlements). Drive stakeholder

engagement, leadership alignment, impact analysis, learning/training,

communications, deployment, and adoption measurement. Work with Project

Managers and Test Analyst to ensure all testing dates are clearly defined.

Ensuring all defects have been resolved prior to progressing to next stage

of testing. Perform a quality check on the level of testing initiatives

within each workstream. Attend regular project meetings to gain

understanding of future plans and deliverables. Help re-align the Test

teams, its people, and their actions with critical business imperatives and

specific objectives.

Deutsche Bank Securities -Business Analyst -

(05/07 - 07/08)

Worked with clients and prime brokers on break resolution for open items,

supporting the conversion of new clients into the company. Working with

external and internal business users and clients to define and document

data needs, provide data management, Training plans, analysis, report

generation enhancements. Acting as an interface between Options business

unit and the platform development and implementation areas, involved in

creating and assembling detailed business requirement specifications for

new products/applications and product/application enhancements.

BankAmerica Securities -Business Analyst -

(04/06 - 3/07)

Served as an analyst in the UAT and Data mapping exercises for the Options

CMTA (trade) allocation tool of the InstaQuote trading system for

Institutional Derivative products. 75% of the day was spent on testing

various aspects of data output including bug detection, system

performance/response time, reporting and frequent interaction with IT and

various user groups. Provided primary liaison between

business/operations/vendors, and development teams. Project Management and

SDLC/Testing Quality Assurance, QA Experience, trading processes and

instrument valuation/pricing. Assist in generating the methodologies,

practices and processes for data quality and reporting by partnering with

area managers.

Fiserv/NFS Clearing Business Analyst -

(02/05 -1/06)

Assisted in the conversion of all operating systems from Fiserv (to NFS

Clearing, due to the takeover by NFS. Broadridge/BPS conversion

responsibilities included data scrubbing and clean-up and UAT of data feeds

from Fiserv legacy systems to NFS Clearing systems. Map the process

workflows and analyze the scope of improvement. Involved in Requirement

Scoping and analyzing high priority requirement for implementation.

J P Morgan Chase- Business Analyst

(03/04 - 11/04)

Participated as an analyst during the conversion of Fixed Income Products

from JPMC legacy systems to the ICI Impact system. Responsibilities

included UAT of various process flows between the 2 systems and reporting

to the PMO of all findings. Work with IT to develop functional

specifications based on Business Divisions requirements

UBS Securities Conversion Analyst -

(01/03 - 11/03)

Participated as an analyst in the implementation of a new securities

settlement and reporting system for UBS, the ADP/Broadridge workflow

system. Responsibilities included data mapping, business processes and

process enhancements, UAT and script writing. Tested various functions and

security types including Options clearance, Government Securities,

Corporate Fixed Income and OTC settlements.

JB Oxford & Co -Conversion Analyst-,

(03/00 - 01/03)

Operations AVP

Assigned to UAT of various aspects of a conversion of the Broadridge/BPS

system to SunGard

Phase3. Responsibilities included bug detection, reporting and frequent

interaction with IT and the business lines. Upon completing of the

conversion, became responsible for the daily Operational Management

functions for the P&S Dept, Options Dept, Stock Loan Dept., Security Master

File Dept (Reference Data Group), Corporate Action Dept (day to day

processing of corporate actions including redemptions, mergers, tenders and

acquisitions).

- SBC Warburg, Deutsche Bank, Goldman Sachs, Banc Boston Robertson Stephens

Operations Analyst

(08/96 - 03/00)

(Contract Work thru Various Consulting Firms)

Handled day-to-day operational functions: listed securities, government

securities/fixed Income, bonds, mortgage-backed securities, OTC

comparisons, CNS balancing, Options clearance. Additional responsibilities

included foreign exchange settlements, emerging market settlements,

(receive and deliver) and DTC settlements international/domestic and Bond

comparisons, Dividend operations. Project implementation conversion team

for P&S, futures, Options group and private banking divisions. Phase3 and

Broadridge/BPS conversion. Data mapping and field-testing. Assisted in the

analysis and development of new products. Recommended changes and updates

for security master file enhancement. Reconciliation of Futures, exchange

Swaps and Options positions held on various exchanges. Coordinated with the

technical staff to determine workflow requirements, and timelines for

completion of projects.

Jefferies & Co -Trading Support Desk-.

(12/94 - 07/96)

Performed reconciliation and distribution of customer account allocations

from OTC traders (heavy phone contact); OTC clearance includes: step

outs/meetme's CNS and non-CNS balancing, regional exchanges, and

correspondent clearing. Additional responsibilities included maintenance

of firms Security Master File databases.

Kidder Peabody -Assistant Manager OTC/Options Clearance-

(09/91 - 12/94)

Managed over-the-counter clearance; Trade comparisons; CNS and non-CNS

balancing; Position and money reconciliation; Trading support; Trade

corrections; Option expiration weekend; Exercising of options; Assignment

process; Firm margin requirements and Clearing member trade agreements.

Managed a group of six.

Friedberg Mercantile Group -Commodity Trading Desk-

(02/90 - 09/91)

Responsible for client daily trading activity, evaluating current and

future financial market positions vs. margin requirements.

Newbridge Securities, Inc- Senior Options Operations Specialist-

(12/85 - 01/90)

Responsible for all aspects of options clearance; Firm position and money

reconciliation; Expiration weekend procedure; Exercising of options;

Assignment process; Escrow pledges;; Conversions; C.M.T.A.; Daily review

and analysis of trading activity and overseeing client service inquiries

using the ADP system.

Pershing & Company/DLJ -Senior Options Clerk-

(10/84 - 12/85)

Performed daily reconciliation of firm suspense accounts; balancing of

uncompared trade differences; pledging and releasing of securities to OCC

vs. margin requirements.

Dean Witter Reynolds, Inc Senior Options Clerk-.

(06/79 - 10/84)

Responsible for options clearance operations; exercising and assignment

process; expiration weekend; clearing member trade agreements; research and

investigation of all trade corrections; broker to broker position

transfers.

EDUCATION

Lehman College - Bronx, New York, B.B.A, 1980

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