Management Manager

William Moss

**** ******** **** ******** *******, New York 10598

Email: *******@*****.*** Phone 914-***-**** (H) 914-***-**** (Cell)

SUMMARY

. Strong combination of business acumen, technical proficiency and

communication skills

. Strong business Analytical skills with the ability to liaison between

the technical and operational sides of the finance industry

. Strong background in AML/KYC and ISDA Compliance on both Operational

and Technical sides.

. Extensive experience as a liaison between finance based client, and IT

Professionals

. Development of a financial software as a trainer to end users as well

as a system tester

. Strong base of experience in treasury operations with excellent cash

management and derivative processing skills as well as a background in

portfolio administration and fund accounting

. Extensive knowledge of financial products including Equities, Fixed

Income, Options, Futures, and compliance

. Developed cash management operations for both Olympia Capital and

Parker Global Strategies which are in use to this day, Middle Office

Trade confirmation for Swift, Money Market Funds and bonds

. Reference Data project including testing and script writing

. Proficient with Microsoft: Word, Excel, Visio, Pivot Tables, V Lookup,

Change Management Development, Access and Windows; Mantas, PEGA,

Actimize, Markit, Geneva, Advent, Bloomberg Systems, Quick Books,

Reference Data, Outlook, Quality Center

Accounting, Bookkeeping & Tax Preparation

PADDLEPRO.COM - Katonah, NY

2/2009- Current (consultant)

. Establish and maintain inventory controls

. Pricing analysis

. Tax Preparation both state and federal

. Cost benefit analysis

. Ongoing analysis and reporting of expenses

. Resolve issues with Accounts Payable and expenses

. Monitor and report employee expenses each month by type (airfare,

cars, hotels, meals, etc.)

. Management Reporting to Accounting reconciliations

. Payroll including Payroll tax and other withholding

Business Analyst

LLOYDS BANK USA- New York, NY 2/2014-9/2014

(Assignment completed)

. Testing for Production the addition of a new application in

Treasury Operations area

. Writing and executing test scripts, QA assessments for Treasury

Operations on PEGA Upgrade

. Support, design and create scripts and execution for UAT Testing

for PEGA in Word and EXCEL

. Creating Scripts and posting documentation in Quality Center for

PEGA & Mantas

. BRD Creation on enhancement in Compliance and Treasury areas

related to PEGA.

. Also, currently working as an end user on SWIFT in the

Payments/Treasury area

. Wrote a user guide for SWIFT inputting using Visio,EXCEL and Word

JPMORGAN CHASE- Brooklyn, NY

10/2013-2/2014 (Assignment completed)

. ISDA and KYC Documentation and form completion in Markit System

. Client Onboarding and Reference Data documentation

. KYC compliance and documentation, account set-up in Markit

. Daily and weekly metrics reporting to upper management, using EXCEL

as an updating tool

. Creation of work flows and reporting procedures for compliance

documentation in Markit System and Risk Management

MORGAN STANLEY- Jersey City, NJ

11/2012-6/2013 (Assignment completed)

. Testing for Production for the addition of a new application in

Retirement Plans Operations area

. Prepared and executing test scripts, QA assessments for Retirement

Plan Operations Area

. Support, design and create scripts for UAT Testing for Quality

Center using EXCEL

. Current project: Implement minor enhancements to existing

functionality across the retirement plan platform

. BRD Creation on enhancement Document concerning Risk exposure

CREDIT SUISSE, New York, NY

7/2011-/2012 (Assignment completed)

. Reference Data Production including testing and script writing,

specification gathering and documentation

. Testing Production for the addition of a new major application in

the finance and operations area

. Data Documentation and specification writing for Quality Assurance

and Data Management

. Prepared and executing test scripts for Risk Management in Mantas

and Asset Control

. Reference Data : including UAT testing and script writing for BRD

and FRD, attended to connectivity issues

. Ran calls on Data Management on Quality Metrics and Audits for Risk

Management and IB

914-***-****

JPMORGAN CHASE- Brooklyn, NY

6/2010-1/2011 (Assignment completed)

. Economic reconciliations on current JPMorgan positions and cash,

General Ledger transactions related to current portfolios as well as

legacy Bear Stearns position

. Prepared excel Ledger Reports for upper management

. Assist in the preparation for SOX testing

. Served as a tester for SOX

. Document and track SOX testing for Operations Department

. Managed a team of three contracted SOX testers

. Assisted in Production of an FX currency module and ISDA,

documentation on Security Master for Risk Management and IB Group.

JACK RYAN GROUP-New York, NYM

10/2009-5/2010 (Assignment completed)

. Consulting on the wind-down of Lehman Brothers Holdings

. Prepared accounting & General Ledger excel Reports for upper

management

. Economic reconciliation on small and mid size bank portfolios to

ensure agreement on final receive/pay amounts with counterparties,

this is done receiving information downloads from systems such as

Reuters and DTCC.

. Outline any compliance issues including ISDA documentation related

to the wind down for Legal Department and Risk Management

Project Management Specialist

IMAGINE SOFTWARE, INC. - New York, NY

6/2008-6/2009 (Laid off due to economy)

. Extensively involved with new Client on-boarding of company's licensed

software, including researching and prioritizing Clients' needs and

objectives, resolving compliance and Standards and practices issues as

they arose and meeting agreed-upon deliverables.

. Provided technical and financial management, accounting and compliance

support in the product design and development of financial software

including download information from DTCC and Reuters.

. Functioned as client relationship contact on technical issues

including UAT & SQL testing.

. Performed extensive research and assisted with the choice of vendor

for the financial compliance module.

. Assisted with the sales and marketing of the company's Trade

Management product to new client leads.

. Wrote work flow for the trade break management and derivative

reconciliation module that worked with trade management system.

. Designed work flow (schematic) of a Mantas and Actimize based cash

management and FX module that worked in conjunction with established

trading system. Served on Implementation team for Sun Trust Bank

project and a tester for Millennium upgrade project and trainer of End

users.

. Ran parallel testing between existing in house system and the on

boarding of new systems including Advent-Geneva

Consultant

SUMITOMO-MITSUI BANK CORP. - New York, NY

11/2007-6/2008 (Took full time opportunity)

. Provided Operational support for the Trading Desk. Posted adjustments

made to trading desk General Ledger.

. Created and updated deal tracking system. Managed for deal settlement

and liaised with Brokers

. Prepared ISDA/ KYC Compliance Documentation and verification. .

. AML/KYC post-trade documentation, Risk Management and compliance.

. Supervised a team of 4 consultants

Operations Manager

PARKER GLOBAL STRATEGIES - Stamford, CT

1/2007-11/2007 (Department relocated to Denver, Co)

. Handled repurchase agreements. Managed credit facilities,

collateralizations, derivative processing and FX currency. Handled

settlements and confirmation(s) for Money Market Funds products including

equities, municipals, fixed income, derivatives and Collateralized Debt

Obligations

. Researched and analyzed availability of cash across a multiple of

currencies for investments. Managed cash movements, derivative

processing consisting of Equity Swaps, Hedge Swaps, with a

concentration on Multi Currency Swaps and trade bookings. Administered

cash related to subscription and redemption of funds. Processed money

movements for FX hedge rolls, ledger transactions, credit facility,

swaps, options, fixed income, derivatives and FX currency

transactions. Managed valuations on all portfolios across five

currencies. Designed and over saw implantation of a UNIX based cash

management and ledger systems upon arriving at Parker and trained all

co workers on the systems operation and the tie in to custodial bank

operations, updated and maintained all required reports and related

documentation; each report was created in the client's home currency.

Initiated analyses of cash flows, upgraded Security Master, Worked in

association with Portfolio Manager to resolve any issues. Established

and led a diverse professional team.

. Ran parallel testing between existing in house system and the on

boarding of Advent-Geneva

. Served as liaison between End Users and IT (Advent-Geneva)

. Trained End Users on Advent Geneva Middle Office, trade confirmations

and settlements

Accounting Operations Manager

OLYMPIA CAPTIAL ASSOCIATES - New York, NY

10/2000-1/2007 (Company was sold)

. Performed available cash analyses as well as viability analyses of

domestic and foreign investments.

. Worked with Portfolio Manager to resolve a variety of problems

including settling discrepancies, bookings, forwards and cash

projections across multiple platforms such as derivatives and fixed

income.

. Handled repurchase agreements. Managed credit facilities,

collateralizations, derivative processing and FX currency, maintained

Security Master.

. Handled settlements and confirmation(s) for various products including

equities, fixed income, derivatives, municipals, fixed income, Risk

and Collateralized Debt Obligations.

. Designed and maintained an in house based cash management and General

Ledger systems, trained coworkers on the system operation and its

relationship to the custodial bank system.

. Ensured ISDA compliance at all times. Increased departmental

productivity by updating user status information in bank systems and

on web sites.

. Served as the Point of contact for clients and testers during box SAS

and SOX testing

. Ensured the on-time payout and processing of investor transactions.

Established and maintained business relationships and functioned as a

liaison with branch offices in France, Canada and Bermuda and our

custodial banks (both overseas and domestic).

. Ran the transition team for the change over from Prosper to Advent-

Geneva, controlling parallel testing

. Served as the liaison between the operational side and IT

. Trained End Users on Advent Geneva Middle Office, trade confirmations

settlements and SWIFT

. Cash Flows and forecasting

Lead Plan Administrator

THE BANK OF NEW YORK - Purchase, NY

5/1997-10/2000 (Division Closed)

. Responsible for $48 million in assets for pension and 401(k) accounts.

. Handled all account transactions, ledger transactions and postings

including distributions, contributions, and loans.

. Generated all required reports and financial statements. Developed and

maintained highly successful relationships with investment

institutions, brokers and the human resource personnel of

participating organizations.

. Lead Administrator for a team of twelve and two Junior Administrators

Senior Investor Representative

EVERGREEN ASSET MANAGEMENT CO. - Purchase, NY

2/1989-04/1997 (Company sold)

. Updated performance, cost basis and gain / loss information for

shareholders.

. Served as in-house IRA and Retirement Plan Specialist.

. Maintained on a daily basis industry comparison and fund reports for

Chief Financial Officer, Portfolio Managers and company President.

. Managed daily and quarterly updating of settlement and Blue Sky

reports, and handled general shareholder account questions and

problems for preferred clients

EDUCATION

ADELPHI UNIVERSITY- Garden City, NY

ST JOHN'S UNIVERSITY-Jamaica Queens, NY Associates Athletic Administration

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