Project Manager Management

ROBERT S. CASALE

(Cell) 914-***-**** ***********@*****.***

PROFESSIONAL SUMMARY

Highly successful, effective, and proven team leader, motivator, and financial services expert. Strategic thinker and technical planner. Strong and discerning technical analyst and negotiator. Asset management and process improvement specialist. Positive, perceptive, and effective change agent. Directed the Asset Management Division’s Due diligence department to assure compliance to FIRM accounting policy and conformance with GAAP. Relationship manager for Asset Management with the Internal Audit and Risk Management departments and assured that all Funds, Managed Money Accounts, and Private Wealth Client Accounts were invested and managed in conformance with regulatory guidelines (NASD, SEC, NYSE, and Futures and Commodities Regulators).

Over Twenty years experience in corporate and structured finance and analysis for several major financial services firms including top accounting, commercial and wholesale banking, mutual funds, and investor news and analytics.

Particular emphasis on quantitative analysis, and implementation, and financial modeling of complex financial products including mortgage-backed securities, fixed income products, commodities and derivatives.

Expertise in Microsoft Access and Excel, Visio, VBA, SQL MAS 200, MAS 90, Hyperion Essbase & Hyperion Enterprise, Omega, MSA, Great Plains, SAP, Business Objects, On- Demand, Reval, Bloomberg, Sun Workstation, MS Access, Excel, PowerPoint, Lotus, and Wall Street Analytics.

Solid understanding of gap analysis, requirements management, testing and project plans. Created test scripts and what-if scenarios to assure successful migration of existing portfolios, accounts, positions, and accurate transaction processing.

In depth knowledge of Stocks, Futures, Forwards, Swaps, Options.

Good understanding of Credit Derivatives – Credit Default Swaps, Synthetic Securities (CDO, CMO & CLO), Total Return Swaps, Credit Spread Forward and Options, Credit Linked Notes etc. Very experienced in Data Migration

Solid understanding of trading life cycle for different Exchange Traded and OTC Traded instruments.

Analyzed trading positions with VaR concept for Market Risk and Credit Risk

Excellent understanding of Bonds such as Government bond, Municipal bond, corporate bond, TIPS and Interest rate derivatives.

Professional Business Analyst with an outstanding track record of 15 years plus experience in financial sectors including Investment Banking (Bonds, CDs, Commercial Papers, MBS-Mortgage Backed Securities, ABS, Derivatives and Stocks) and excellent knowledge about risk analytics.

Strong Subject Matter expertise in Fixed Income instruments, Bonds Pricing & trading, Equities Trading Cycle, Derivatives (Options, Futures and Swaps) and Credit Risk Analytics.

Solid experience in Business Process Modeling, Requirement gathering and Gap Analysis in complex client server, financial system projects such as Fixed Income Instruments, Credit Risk Analytics, derivatives and Financial Risk Analytics.

Hands on expertise in requirement change management and Business rules identification including developing the data mappings and data dictionaries.

FINANCIAL INSTRUMENTS:

oDerivatives – Swaps, Caps, Floors, Swaptions, Captions, Floortions, Path-Dependant Structures, Basket Structures, Bermuda style Puts & Calls on Structured Product.

oCredit Derivatives – CDS, Asset Swaps, Total Return Swaps, Callable CDS, Callable /Puttable Asset Swaps, X to Default and related structures, Callable Portfolios and CLO.

oFixed Income – Treasuries, Agencies, Munis, Corporates, Repos, MBS, CMOs, MBS Strips, Futures, Options and Pass Thru securities.

oEquity – Common Stock, Warrants, Puts/Calls, Preferred Stock and Convertible Stock.

oStrong understanding of Capital markets, financial instruments, risk analytics, various financial related calculations backed by strong educational credentials.

oExcellent understanding of US fixed Income (Bonds, Cds, Repos, CMOs, CLNs, MBS and ABS), Equities, Investments and derivatives (Forwards, Futures, Options and Swaps) Also have experience and expertise in Foreign Exchange both Funds and Firm holdings.

Designed and implemented internal controls for asset management organization including Alternative Investments, Private Equity, and Private Equity funds and Futures and Commodities Funds and Investment Pools. Assisted in development of control environment in alignment with company practices Generally Accepted Accounting Practices (GAAP). Also created and established documentation in support of SOX and Basel compliance initiatives for Investment Management Controllers. Served on New Products Committee and oversaw due diligence and back-testing to ensure legally/financially sound launch of all new products and Funds. Evaluated high risk and thinly traded mutual fund portfolios. Reviewed Fund Accounting (daily NAV calculation, monthly closings, 10Qs, and 10Ks for those funds that were administered internally). Managed the daily NAV Calculations of over 200 Mutual funds, Hedge funds, and Unit Investment Trusts. Performed and managed the monthly

PROFESSIONAL EXPERIENCE

Consulting Assignments 6/2006- Present

Greenwich CT based Hedge Fund Company. People Link Staffing – SAC Capital Management- Business Analyst/Lead Manager. Managed the project teams responsible for the Accounting and Trading System conversion projects, focusing on business unit (Trading desks) requirements along with regulatory reporting (SEC/NASD/CBOE/) and General Accounting requirements. Created a portfolio deliverables and the tracking system(s) to monitor key criteria such as issues and benefits, risks, scheduling of tasks, and monitoring costs, (AVB) actual versus budget for the Project Group. Developed a robust Business Intelligence Platform utilizing the firm’s Hyperion/Oracle Platform. Created Data Repositories (warehouses that could be queried) to provide data to Customer Relationship Management and Accounting/Trading Management Management) Utilized Agile Project Management software to track validity and performance of systems changes and enhancements.(April 2010 thru May 1 2011) (August 2011 thru Nov 2014)

New York based Hedge Fund and Fund of Funds. Finvest Asset Management the development of the internal system designed to the value funds and calculated performance of the funds, and of all separately managed accounts (SMA). Created a due diligence process to assure accurate pricing and Marks to Market of underlying securities and derivative positions, calculated fund manager’s performance and incentive fees and created statements for the disbursement of Manager Compensation. Created a Business Intelligence Platform using the companies SAP/Oracle Platform and utilized Data Warehouse and customized queries to perform to calculate Fund Managers compensation and to enhance sales activities. (April 2008 thru March 2010)

Private International Asset Management Company. Julius Baer Asset Mgmt Independent contractor for a Major Consulting Company (Protiviti Inc.) engaged in a Sarbanes /Oxley certification project. Assisted client in the remediation process for controls that were determined to be ineffective. Documented and validated new and/or enhanced controls to assure Sox compliance (October 2007 thru January 2008)

New York based Asset Management Firm - Lehman Asset Management

Project Manager for the Accounting and Treasurer’s departments responsible for the installation of the new General Ledger system. Also PM for the migration project of Syndicated Bank Loans, High Yield Bonds, and Credit Derivatives positions and fund from recent mergers and acquisitions of Fund Managers and International Broker Dealers . Also, consulted with the Legal and Internal Audit departments to determine a more intense oversight/compliance effort for the non-generic trades and investments executed on behalf of Mutual Funds and Separately Managed Accounts Developed a Securities Lending Program with internally serviced and external fund services increase fund performance increase shareholder value (performance) Utilized SunGard as their preferred vendor. (August 2006 thru August 2007)

MORGAN STANLEY, New York 3/1983 - 6/2006

Global investment bank Securities Sales & Trading Company. $70B market capitalization.

Global Wealth Management Services 2004-2006

First Vice President/Project Manager / Business Analyst

Managed a 26-member project team responsible for the development and implementation of a multi-dimensional platform for viewing a fully loaded profitability cube by category, including product sold, distribution channel, branch and regional territory, and client account size Advised Executive Management on investment and restructuring of the Individual Investor Distribution Network. Served as project manager for the development the firm's bank deposit program and managed the accounting for the private client and small institutional client loan program. Partnered with Global Wealth Management Services and create and develop a CRM system (Balance of Trade) to help Sales Management increase the productivity of both the retail sales force an institutional registered reps.

Financial/Operational Enhancements: Effected $22M bottom-line savings in struggling division, Served as Project Manager on the SOX Certification Project for the Retail Broker Dealer’.

Involved in computation of expected loss due to credit and market risk on global trading portfolio, produced daily reports to senior management for regulatory compliance, to meet capital adequacy requirements and to set business trading limits. Was Asset Management’s representative for compliance to all SOX and BASEL

Compliance issues and requirements.

First Vice President –Operations Manager – Investment Management 1999-2004

Developed and implemented the project plan to consolidate/integrate the accounting, operations, and trading systems of five legacy businesses units into one consolidated Investment Management Platform.

Performed and/or reviewed Fund Accounting (daily NAV calculation, monthly closing, 10Qs, and 10Ks for those funds that were administered internally). Managed the daily NAV Calculations of over 200 Mutual funds (Organized under the Investment Company Act of 1940), Hedge funds, and Unit Investment Trusts.

Performed and managed the monthly closings, 10Q’s and annual 10K filings for all SEC registered Investment Companies.

Responsible for due diligence and relationship management on any outsourced accounting and back-office functions for any funds or separately managed accounts.

Created a Data Warehouse (Repository) of fund information so that fund financials and Fund Board reports could be downloaded by using Query Language (SQL) and IBM On-Demand and Hyperion Essbase.

Senior Officer and Project Manager for the development of a one Securities Master File that could be utilized by the Asset Management Operations Department and the Consolidated Trading Desks.

Integrated the securities, trading activities of five legacy asset management organizations and consolidated all legacy systems into a consolidated Investment management system.

Performed GAP Analysis to identify the deficiencies of the current system and to identify the requirements for the change in the proposed system.

Worked with SMEs to understand and document Credit Risk & Management, Customer Segmentation, Portfolio Analysis/Mgmt, FDR and TSYS processes, FICO Score generation and other business areas.

Conducted interviews and performed Stakeholder Analysis, worked with the IT managers’, software architects to identify the key changes, and participated in Stakeholder Management to communicate effectively with them.

Financial/Operational Enhancements

Consolidated five legacy general ledger systems into one.

Experienced in performance attribution; decomposition of security or portfolio return into components, price, income, principal, currency, interaction, determine sensitivity of return to factors, sector allocation, industry, rating, duration, convexity, volatility and country.

Spearheaded development project to automate daily share reconciliation, reduced process time from hours to minutes and simplified process to facilitate handoff to production team.

Experienced in leading design and implementation of multi-factor attribution model, extending capability of current attribution model to compute sensitivities to various factors simultaneously.

Established and implemented daily fund asset valuations (pricing) for funds with assets that were not readily marketable. Partnered with the Information Technology Group and Operations to build pre and post trade compliance to account and fund mandates.

Ability to monitor the credit risk of all fixed income portfolios and performs VaR analysis and also extracted data from enterprise wide data warehouse - staging, integration, and access and provided a global coverage of all the benchmarks.

Used different data sources for security terms and conditions and prices.

Calculated total risk exposure of a FI portfolio or a mandate to a single security.

Provided user defines and standardized reports for risk managers.

Worked extensively to gain knowledge about historical data of the various portfolios of different asset classes handled by the Company.

Interviewed portfolio managers to gather requirements regarding the risk assessment of their portfolios and their expectations for the system developed.

Worked on data mapping for data from different data providers like Reuters, Markit, etc.

First Vice-President – Capital Markets Accounting 1983-1999

Managed the accounting cycle from transaction review through financial statements for the Fixed Income, Institutional Equity Divisions (including all equity and credit derivative products). and the Sales and Trading of the Futures and Commodities Division Reviewed and analyzed results daily p/l with traders and trading management, and monthly consolidated results with senior business unit and senior accounting management for the following products.

Government and Corporate Bond Trading and Sales

Loan and Asset Securitizations

Mortgage Backed Trading and Financing

Mortgage and Credit Derivatives

Futures and Commodities

Interest Rate and Currency Swaps, Caps, and Floors

Options and Swaptions

Foreign Exchange

Financing and Securities Lending

Financial/Operational Enhancements

• Established and implemented a plan to create a new Credit Services Department that would compete in the consumer arena for Credit Cards, Mortgages, Recreational Vehicles and other asset based lending vehicles and companies. Established Discover Card and the Novus Financial Services business unit.

• Reviewed and Analyzed monthly results with Credit Services management, and monthly consolidated results with senior business unit and senior accounting management for all Credit Services products.

EDUCATION

Bachelor of Science in Business Administration/Accounting from Bryant University, Smithfield, Rhode Island .

Professional Licenses

Series 7 and Series 27 (Inactive)

Computer Skills and Systems Knowledge

Microsoft Access and Excel, Visio, VBA, SQL MAS 200, MAS 90, Hyperion Essbase & Hyperion Enterprise, Omega, MSA, Great Plains, Omni- SunGard, Charles River, MUREX, SAP, Business Objects, Crystal, IBM On- Demand, Bloomberg Pricing and Execution software, and Agile

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