NEIL O’CONNELL

Executive Summary

BA/PM

Regulatory Reporting - FAS 52, 157/159, SAS70

FX Back Office, Middle Office Management, Clearing

Requirements Documentation, UAT

Risk, Dodd Frank

FX, OTC, Rates, Credit

Work Experience

Makosi Consulting, New York, NY 2013-2016

Business Analyst- Credit Suisse Basel Management Reporting

Produced the Pro forma of the Basel III FR-Y9C_II,& 14C submissions and input the data into Axiom.

Business Analyst- BNP Paribas 871 Tax regulation project team

Liaised with KPMG for guidance in interpreting the 871 Tax rule. liaised with Front, Middle, & Back office in coordinating the global implementation of the rule.

Gathered requirements from the Business stakeholders, coordinated meetings with various groups IT, on-boarding, equity and prime brokerage desks.

Gathered the business and Architectural system flows by asset class and trading desks i.e.(PB or Equity) to drive the implementation forward.

Treasury Analyst - American Express Derivative and Hedging Treasury Support Service

Produced the output for American Express regulatory reporting (FFIEC 009&031, Y9C HCR & HCL, FR 2314) QTR close process, FX Exposure & Hedge Effectiveness management, footnote disclosure, and operations readiness for Basel 3.

Responsible for managing the company’s ASC 815(FAS 133) hedge strategy for Net Investment Hedges, Balance Sheet Hedges, P&L Hedges, and IRS/Debt Hedges

Handled the internal and external SOX requests, audit requests, spreadsheet controls, and updating procedures

Managed the Dodd Frank Collateral piece for their IRS & CDS trades.

Business Analyst/Project Manager – Deutsche Bank, Dodd-Frank Project

Manage a group of consultants for a Dodd-Frank Project in the Client clearing OTC On-boarding space, Collateral space, Confirmations, Settlements, P&L, and Reconciliations with an overview of the client clearing offering and maturity level of Deutsche Bank’s processing capabilities. Review of the Business focus areas for 2013 & 2014 (Book of work drivers). Budget and detailed book of work as it relates to the drivers Front Office, Middle Office, Valuations, with a high level review of all processes with assessments and recommendations identifying gaps.

Enhance the build out of the Onboarding process of clients account summary which entails Fund Name, Products OTC Rates-LCH, CME, OTC Credit-ICE Clear Credit, CME, affirmation platform, netting method, CCP id’s. CFTC Designation, Settlement CCY’s, and reporting. Creating a best in bread On-boarding Production Process and Client Certification Process.

Liaising with IT Teams on the Operation Workflows, primarily Trade Execution, Allocation, and Clearing Process, Trade Fallback Process, Trade Adjustment Process, and Compression/Netting.

Liaising with IT teams on Daily Collateral Management with respect to Trade data feeds from the CCP’S flowing properly into DB clear store, DB Rex, DB Margin and GP3 to agree Margin Calls. Liaising with IT and implemented a consolidation tool encompassing all reports from the CCP’s and all current clients live to summarize VM, IM, VM+TSA, and Net/Excess Deficits.

American Resources Corporation 2011-2012

Consultant

Processed and monitored the daily export and import of premier fragrances.

Handled the clients buy request for fragrances and the sourcing of inventory by the manufacture.

Focus on expanding the fragrance business through potential investors.

Morgan Stanley, NY, USA 2008-2010

Senior Consultant- Equity Trade Support Group

Implemented a standardized process to input the FX execution price of ADR’s in passport for traders on the sales desk, Global Wealth Management, and Private Wealth Management. Liaised with traders and programmers to develop a template which encompassed all ADR’s to increase the speed and accuracy of the price given.

Gathered and confirmed prices for all daily FX ADR conversions in TAPS for our sales traders, Global Wealth Management, and Private Wealth Management. Created a process to use other brokers to trade ADR’s through other than Bony and created a metric for senior management to quantify how much this process was saving the bank.

Monitored and managed the flow of client trades input to Taps and Errec (risk system) and performed a reconciliation of both to ensure systems reflected the same trading position and if not, made the proper adjustments.

Resolved trading breaks for the trader’s before the market opening between (Taps) the front office system and Risk. Ensured the procedures for the SAS70 were in place.

Actualize Consulting 2007-2008

Junior Project Manager. JP Morgan Chase

Streamlined the FAS 157/159 process in its entirety from the front office to the back office.

Gathered requirements from the client regarding their FAS 157/159 process to better understand the business. Coordinated meetings with the managers of the back, middle, and front office to discuss strategies of the implementation.

Liaised with the traders, middle office, back office, and valuation group personnel to better assess their current processes and make recommendations.

Implemented control checks on the middle and back office to help resolve the data quality issues and become more efficient. Liaise with programmers to streamline processes through access queries, automation and macros to enhance the quality of data.

Liaised with traders, auditors, middle office, and the valuation group to determine the level of hierarchy for each asset class trade.

Reval (clients: Deutsche Bank & MBIA)

Prepared and documented a Business Case during the Initiation phase.

Gathered client data requirements through onsite meetings with COO, front office, treasury accounting, and financial reporting to better understand their business. Gather sample trades, pricing methods of products, accounting entries, hedge accounting of asset classes, month end processes, operational reports, AML, KYC, and management reports.

Gathered client configuration data requirements through meetings with technical teams and front office to detail the system configuration required to align the Reval system with the client system given best business practices. Establishing trade type entities, asset classes, hedging strategies, trade types, counterparties, and brokers.

Managed and monitored the client on boarding implementation process of the clients’ requirements Liaised with technology to ensure data was uploaded accurately and resolved any issues. Liaised with operations and accounting to ensure the setup of accounts, trades, pricing, P&L, and reports were completed according to best business practices.

Coordinated weekly conference calls to provide the client with a weekly status report managed against the timeline in the deliverable, addressed any issues or challenges to resolve.

Coordinated onsite visits to the clients to train the traders and staff on the Reval system to input trades, correct trades, run reports, price trades, and produce P&L for their various asset classes.

Maintained ongoing support with the traders while they were live on the Reval system to answer any questions/concerns.

MKP Capital Management LLC, NY, USA 2005-2007

Valuations and Risk Reporting

Independently price tested FX, IRS, CDS, MBS, ABS, RMBS, CMBS, Treasuries, and Repos within the different portfolios; compared to the street on a monthly basis and had the prices reviewed and signed off by the portfolio managers. Supported pricing models and provide clients with valuations.

Streamlined the pricing process by working with the programmers developing download and upload pricing feeds and macros. Reconciled NAV per investor compared to SEI.

Monitored the incoming subscriptions and redemptions per month with respect to each fund.

Analyzed and reported the weekly hedge fund performance figures to senior management and marketing before being distributed to the investors.

GlobeOp, NY, USA 2003 - 2005

Middle Office Manager

Managed a hedge fund administrator middle office servicing the daily trading needs of our clients.

Reconciled daily P&L and prices, resolved trade breaks and settlement issues with the prime broker, cash reconciliation, and portfolio accounting. Preparation of monthly NAV.

Managed the client on boarding relationships of our hedge fund clients in regards to any issues, coordinated weekly conference calls, and set up new securities for the client to trade.

Bank of America, NY, USA 1999-2003

FX Middle Office

Reconciled FX P&L for all New York sales advisors and analyzed each P&L report to ensure the allocations were booked to the correct customer.

Analyzed, researched, and resolved P&L variances for the FX sales and trading desks.

Prepared Mark to Market Analysis for sales clients.

Produced the FX spot and forward points for our FX trading desk to review and resubmit marks.

Prepared daily Flash FX P&L reports for presentation to senior management of USFX globally.

AIG Trading Group, NY, USA 1997-1999

FX Back Office

Performed, in conjunction with the Credit department, the handling of all margin calls for FX and monitored the company’s credit risk.

Executed cash rolls with the Forwards desk to properly hedge the traders’ books.

Cleared all currency payments for FX, options, interest rates, futures and swaps through CHIPS, FEDWIRE, and SWIFT messages.

Monitored incoming credits and debits to reconcile the companies USD accounts.

Education/Qualifications

Quinnipiac University, Hamden, CT 1994

Bachelor of Science in Management

Technical Skills

Microsoft Excel, Advent Geneva, Bloomberg, Infinity, Trader 2, Rev, Devon, Reval, Swift, TAPS, ERREC, EQS

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