Pricing/valuation/IPV project management P&L business analysis
Resume:
Hadley Weinberger
**-** *********** ****. ***. *E
Forest Hills, NY 11375
***********@*****.***
CAREER SUMMARY:
Comprehensive buy, sell, and hedge fund experience with extensive knowledge of securities pricing, reference data, and valuation/fair valuation/IPV. Expert in the design and implementation of Mid Office and Back Office processes to create new technology systems, policies and procedures, and streamlining of workflows. Experience in Project Management, P&L, and market data operations.
KNOWLEDGE BASE/INSTRUMENT CONCENTRATION:
Experience pricing the following asset classes: Mutual Funds, Equities, Corporate, Convertibles, Government, Municipal,
MBS, CMBS, RMBS, ABS, CLO, CDO, and Emerging Markets Bonds, ADR’s, Options, Futures, FX rates, Warrants,
Interest Rate Swaps, and Credit Default Swaps.
Systems Knowledge: Bloomberg, Reuters, IDC, Advantage Data, MS Office (Excel, Access), Visio, PORTIA, Charles
River, DST, Invest One, Business Objects, ADP, Lotus, FMS/PeopleSoft, NTAPS, Asset Control, Visual Portfolio Manager,
SAP,VAA2, TWA, PAM, and Sharepoint.
Areas of expertise: Experienced with master reference data content management pertaining to fund of funds, hedge funds,
and institutional and sub-advisory accounts with data systems. Proficient with valuations/fair valuations and FAS 157
leveling, SSAE 16, and ASC 820.
EMPLOYMENT HISTORY:
Janus Capital LLC, Denver, CO
Pricing Analyst September 2015 - Current
• Works with price vendors, fund advisers, and third party brokers to resolve pricing issues.
• Adheres to best practices in development of valuation methodologies, compliance with ASC 820 Fair Value guidance.
• Assist in research and implementation of hard to value securities ensuring appropriate valuation methodologies are available.
• Designs, builds, and prepares management reports for the monthly valuation committee meeting.
• Develops and analyzes variance, unchanged, and missing price reports. Point person for all price challenges.
• Leader of numerous departmental projects.
• Design and perform price back-testing and price confirmation based on portfolio transactions and market data.
• Performs periodic in-depth analysis of third party provided valuations, including the data points and assumptions used, to
confirm the valuations are reasonable and appropriate.
Great West, Denver, CO
Assistant Valuation Manager June 2015 – September 2015
• Supervises the daily operations of the Pricing, Dividend, and Unit Valuation functions, ensuring all prices, dividends, and
unit values are uploaded on a nightly basis. Ensuring all dividends are paid accurately and on time.
• Coordinates staff efforts in researching and correcting prices and/or dividend payment issues. Assists in monitoring the
timely and accurate completion of multiple reconciliations.
• Assists in monitoring the Mutual Fund Valuations Department’s workflow, planning, and scheduling of assignments.
• Develops training procedures, conducts performance evaluations, and manages staff issues according to company and
divisional policies.
• Responds to ad hoc reporting and audit requests and ensures that team processes comply with appropriate standards and
regulations.
• Involved in departmental projects, including determining system requirements, overseeing new business conversions, and
leading efforts to streamline team processes.
• Reviews and prepares various daily, monthly, quarterly, and yearly financial, regulatory, and statistical reports for
management, internal, and external clients. Ensures that all SOX and SSAE 16 controls are being followed.
Walt Disney Company, Lake Buena Vista, FL July 2014 – April 2015
Senior Financial Analyst
• Responsible for leading the daily reconciliations process for the Currency Operations Teller Cash Recycler Audit Team.
• Designed and implemented effective and efficient policies and procedures.
• Serves as the point person for all Teller Cash Recycler inquiries.
• Provide periodic metrics for senior management on Teller Cash Recycler machines.
• Participates in multi-departmental projects.
• Responsible for the month/quarter end preparation and analysis of account reconciliations.
• Daily monitoring of location Teller Cash Recycler usage.
• Overseeing functions related to daily work in process accounts.
• Responsible for the resolution of account variances and over/short amounts
• Conduct ad-hoc analyses to support operational decision making and improve current processes.
Barclays Capital, New York, NY April 2012 – February 2014
Valuations/US Reference Data Analyst
• Developed and analyzed variance, unchanged and missing price reports.
• Worked with portfolio management to resolve valuation related issues and price challenges.
• Designed and implemented effective and efficient policies and procedures.
• Worked closely with the trading desks to estimate fair market pricing when third party pricing is unavailable.
• Prepared spreadsheet and documents and makes presentation to senior management.
• Reviewed third party prices to determine reasonableness and challenge prices/assumptions.
• Gathers raw data from various sources and determining average market prices and trends.
• Processing of corporate actions.
• Responsible for the daily valuation of Fixed Income, Equity, and Derivative securities.
• Responsible for establishing, documenting, and making enhancements to policies and procedures.
• Worked with the trading desks and collected market research to gather prices and pricing data.
• Investigated price discrepancies and validated resolutions with portfolio managers, traders, risk, and compliance teams.
• Valuing securities and ensuring timely and reasonable prices to clients.
• Responsible for designing and implementing workflows.
• Worked on ad hoc projects as requested.
Legg Mason, New York, NY March 2008 – January 2012
Supervisor – Pricing Group
• Managed the daily valuation of Fixed Income, Equity, and Derivative securities.
• Adhered to best practices in development of valuation methodologies, compliance with ASC 820 Fair Value guidance.
• Created and developed price variance, missing price, and unchanged price reports.
• Worked with the Front Office to develop models for evaluating illiquid securities.
• Worked with portfolio management to resolve valuation related issues and price challenges.
• Collected, summarized, and reported monthly packages to the Valuation Committee.
• Managed special monthly reports for management, including monthly price challenges, overrides, and fair values.
• Conducted reviews of third party vendors.
• Monitored market events to evaluate impacts on securities.
• Created and maintained a framework for the receipt of vendor prices.
• Worked closely with risk management, trade support, portfolio administration, IT, and Front Office teams to enhance the
existing workflow between their systems.
• Led the group effort to design a new security pricing application.
• Point person for pricing inquiries with custodians, vendors, brokers, Front Office personnel, and compliance for issue
resolution.
• Designed and implemented effective and efficient policies and procedures.
• Worked closely with risk management and compliance to ensure compliance with internal control standards including the
timely implementation of internal and external audit points, together with any issues raised by external regulators.
HSBC, New York, NY – CONSULTING October 2007-March 2008
Asset Management Analyst
• Ensured the daily valuation and issue resolution of Fixed Income, Equity, and Derivative securities.
• Resolved trade breaks and large pricing discrepancies.
• Created and designed price variance reports.
• Investigated and corrected price discrepancies and confirmed them with the Front Office.
• Interacted with the Front Office, Risk Management, vendors, and custodians to ensure issue resolution.
Safra Bank, New York, NY – CONSULTING April 2007 – October 2007
Reconciliations Analyst
• Reconciled traders accounts with in-house system ensuring accountants had proper trades, trades settled
correctly, and reconciled trade discrepancies on account breaks with custodians.
• Responsible for the building of security master files.
Nomura Securities. New York, NY August 2005 – February 2007
Securities Pricing Analyst/Profit and Loss Analyst
• Responsible for the price testing of the universe of instruments monitored by the Middle Office Product Control group.
Security types included: MBS, Repurchase & Reverse Repurchase Agreements, Treasuries, and Government Agency Bonds
• Reconciled Front Office systems and Middle Office systems ensuring entire population of securities was price tested.
• Used statistical analysis to determine the reasonability and validity of securities priced by traders.
• Created and developed price variance, missing price, and stale price reports.
• Responsible for calculating, collecting, and summarizing financial information on all Fixed Income products and reporting it
to senior management.
• Established and documented policies and procedures for price testing.
• Confirmed monthly attestation of the balance sheet to the general ledger and the sub ledger.
• Produced daily MBS passthrough security P&L and reconciled daily P&L breaks.
• Interacted daily with the trading desks and operations regarding P&L issues.
• Produced daily P&L for the MBS desk, which included trading P&L, interest P&L, and funding P&L.
• Reconciled breaks on a daily basis and communicated any adjustments to the trading desk.
• Posted month end journal entries into the general ledger.
• Performed SOX 302 certification and reconciled any balance sheet differences.
Citigroup, New York, NY September 2004 – August 2005
Supervisor – Pricing Group
• Managed the daily valuation of Fixed Income, Equity, and Derivative securities, including monthly board reports.
• Coordinated price changes between Citigroup Mutual Fund Accounting team, pricing vendors, and external fund
administrators that prepared daily valuations on behalf of Citigroup.
• Ensured all price challenges, price changes, and price overrides were accurately recorded.
• Created and developed price variance, missing price, and stale price reports.
• Point person in the design and update of the security pricing application.
• Interacted with the Front Office and risk management teams to resolve validation issues.
Highbridge Capital Management, New York, NY May 2002–May 2004
Operations Pricing Analyst
• Managed the daily valuation of Fixed Income, Equity, and Derivative securities, including price overrides and updates.
• Developed price variance, exception, and other control processes and reports to support the price validation process.
• Ran price exception and missing price reports. Determined securities needing further research.
• Investigated securities with missing prices to determine why securities lacked pricing and obtained prices for those
securities.
• Investigated and corrected price discrepancies and confirmed them with the Front Office.
• Interacted with the front office, risk management, and pricing vendors.
Times Square Capital Management, New York, NY July 2001–April 2002
Senior Pricing Analyst
• Responsible for the daily valuation of Fixed Income, Equity, and Derivative securities.
• Designed and implemented effective and clear policies and procedures.
• Coordinated price changes between Times Square in-house accounts, pricing vendors, and external fund administrators that
prepared daily valuations on behalf of Times Square.
• Participated in customer requests as well as projects in support of divisional initiatives; coordinated research with the
performance measurement department to research discrepancies; and assisted portfolio management with special requests in
support of analysis and reporting.
Salomon Smith Barney, New York, NY January 1999-July 2001
Senior Pricing Analyst
• Led the pricing group in the daily valuation of Fixed Income, Equity, and Derivative securities.
• Point person for price changes, price overrides, and price challenges between the Front Office and pricing vendors.
• Reconciled traders’ accounts with the in-house system ensuring accountants had proper trades, trades settled
correctly, and reconciled trade discrepancies and account breaks.
• Responsible for the building of security master files of all securities and booking trades.
• Designed and implemented effective and clear policies and procedures.
EDUCATION:
MBA, Auburn University, 1998.
BS, Finance, University of Alabama in Huntsville, 1995.
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