Quality Assurance Manager

Investment Management Operations Professional

(would consider relocating)

Executive Profile

Detail oriented hand on business analyst with over twenty years of experience within investment accounting/ processing, including software development and quality assurance within the Financial Services Domain. Lead teams of professionals through many facets of investment processing including: investment accounting and performance reporting, software development, design, quality assurance and system implementations and integration.

Areas of Expertise

Business Analysis

Investment Accounting/Operations

Attribution Analysis

Quality Assurance

Software design(SDLC)

Project Management

Systems/Portfolio Rebalancing

Trade Order Management

Work flow Optimization/Re-engineering

Client Consulting and Training

Process Automation

System Implementation

Data Warehousing(PowerBI)

System Integration

Professional Highlights

Univest Bank

Souderton, PA

Vice President, Data Analytics and Reporting

August 2015 – January 2017

Responsible for the design and development of a data warehouse/mart to support our business units reporting and analytical requirements. Worked with internal business unit owners to understand requirements and ensure that database designs not only supported current requirement but also future likely reporting needs. Currently working on a prototype BI environment utilizing PowerBI to integrate various disparate systems. Recently began to define the workflows required for our business units to utilize Salesforce for their CRM needs.

Worked with end users and business line owners to understand current workflow and challenges. Based on finding proposed changes to flow and integration points to enhance data availability.

Demonstrated efficiencies gained by replacing current reports using SSRS with PowerBI.

Detailed to Senior Management and product line stake holders an overall change to corporate information dissemination based on web based cloud environment.

Introduced a reporting concept to drive consistent single view reporting source from multiple legacy systems.

Began to define CRM workflow to support implementation efforts associated with Salesforce.

Salesforce implementation also required data integration for initial load of legacy system as well as 8 additional daily integration points for post implementation production environment.

Lincoln Financial

Philadelphia, PA

Sr Business Analyst/Project-Consultant

June 2015 – August 2015

Responsible for project management of internal retail applications across multiple corporate disciplines. Update stakeholders and held team members accountable to established project management time frames. Guided project team for the purpose of keeping project focus and ensure limited scope creep.

SEI Investments (Global Wealth Platform)/TSU

October 2004 – March 2015

Oaks, PA

Served a number of roles on a corporate development initiative to replace the current domestic wealth system and more importantly provide the global functionality to rebalance, trade, settle and reconcile end client portfolios in addition to internal bank side accounting. This effort was made up of 500 plus professionals and consisted of more than 15 integrated components, inclusive of a data warehouse utilized primarily for reporting. The system is comprised of both bought and internally developed software components. The system went live with its first client in the summer of 2007.

Senior QA Lead

Information Delivery Team/TSU Development Team

Led a team through the Quality Assurance Process with a focus on testing new functionality and component level integration to the platform as a whole.

Responsible for ensuring new software functionality is working as designed with regard to client statements and reporting.

Establish a suite of regression test cases to ensure existing software continues to function as designed.

Utilized SQL queries to validate ETL movement of data to warehouse. The warehouse is the main data source for First Rate (performance measurement system).

Prioritize the testing function from a high-risk standpoint to minimize production level issues.

Managed the test process from component test up to and through system test utilizing HP Quality Center and JIRA.

Drafted proposal to automate our component testing process. This will allow us to significantly enhance functional coverage while reducing the overall time to complete.

As part of our testing process, identified areas of functional gaps reducing user level risks within the production environment.

Assisted in the test planning and execution of an upgrade release by First Rate. First Rate is third party investment performance measurement system.

Business Lead

Portfolio Accounting/ Security Movement and Control (PA/SMAC)

Responsible for defining low level component scope from the documenting of the business requirements, cross track dependencies and use cases. This process aided in the development of the functional and technical design phase.

Steering the implementation approach within the accounting component (Quartz – A TCS Product) to ensure the leveraging of the existing code, where applicable, and the development of new code which was flexible and modular.

Review test scenarios to validate adequacy of testing from both a component and integration testing standpoint.

Work with the Production Management Team on hot issues to define both a tactical solution in addition to a strategic solution.

Business Lead

Asset Data Services

Responsible for providing asset indicative and pricing data to the platform end clients which consisted of: accounting, an enterprise data base, reporting data base, order management system and a tax calculation engine.

Data movement comprise of both real time and batch data movements via an ETL’s often being written to queue’s before being written to the data base.

Gathered requirements and wrote functional designed documents to ensure new functional level data was included in the ETL and mapped to the appropriate downstream consumer.

Design Team Member

This group is responsible for defining the direction of the platform and the business processes that have been affected. A business process was comprised of numerous components which were the basis of our development scope and underlying integration points.

Responsible for defining the business requirements relative to platform initiatives inclusive of the extent of scope on established business processes and affected software components.

Worked with the solutions team defining new or modifying existing service offerings with the focus on determining and defining the development approach and impact to global operations.

Worked with the individual development track to “hand off” the business requirements and acted to ensure uniformity of development across these tracks.

Consultant to SEI

October 2004 to October 2005

Consultant on the PA/SMAC team to define business requirements and drive functional design and approach.

QED Information Systems, Inc.

Marlton, NJ

Director of Implementations/Conversions

May 2000-October 2004

Primarily responsible for managing new client implementations for the company, including process flow re-engineering, client training and interfaces. Managed 3-5 individuals from data conversion specialist to IT for onsite or ASP installations. Client implementations are viewed as a total solution and not just data conversions.

Managed the new software quality assurance process, including user documentation and software rollout.

System interface and integration – recently worked to interface QED’s Q2 Investment Accounting System with MFTP trading system for a large state treasury for transaction load and position based MFTP daily refresh.

Consulting to existing clients for operational related projects. Responsible for designing solution and aiding clients in the implementation of the proposed solution.

Custom designed training programs for users with differing levels of experience.

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Princeton Financial Systems, Inc.

May 1998-May 2000Princeton, NJ

Product Manager

Responsible for determining the business requirements for new products relating to trade order management systems (i.e., Portfolio Rebalancing/Modeling, Pre-trade Compliance and Trade Order Management Modules). The products were geared to enhance straight through processing of our current investment accounting systems.

Monitor the phased release schedule with the goal of reducing time to market.

Create detailed project plans related to functional deliverables.

Organize client advisory group to assure market demands agreed with product phased release schedule.

First Quadrant, L.P. Oct. 1991-Mar. 1998

Pasadena, CA

Associate Director

Managed a team of eight accountants responsible for the reconciliation, analysis and performance reporting of over $20 billion of institutional assets (100 portfolios) utilizing SunGard(Shaw Data) Onsite Investment Accounting System.

Maintained company composite reporting in accordance with AIMR presentation standard. Detailed knowledge of both international equities and derivative instruments (futures, options, currency forwards and swaps). Extensive experience with overlay portfolios that employ tactical asset and currency allocation decisions both domestically and internationally.

Designed attribution analysis spreadsheets for our tactical currency product taking into consideration underlying currency exposure from equities in addition to currency forwards.

Part of a team responsible for the design, alpha and beta testing and implementation of investment accounting software. This included a co-development effort related to a futures accounting module for a commercially available software package.

Extensively worked with our programmers to increase operational efficiency through automation (i.e., auto-reconciliation, linking systems for data sharing).

Customize client reporting. Examples would include exposure analysis between equities, derivatives, market and currency, in addition to active versus passive investment decision analysis and duration exposure adjustment.

Acted as the chief liaison between First Quadrant and the custodian banks during several multi-billion dollar transfers of our client’s assets to a new trustee.

Audited the rebalancing results of our in house tactical asset allocation program for our overlay products.

Crum and Forster Corp. Basking Ridge, N.J.

Senior Investment Accountant, Oct. 1990- Oct. 1991

Responsible for the detailed reconciliation and reporting of insurance portfolios and returns to investment managers.

Assisted in the preparation of Schedule D.

Monitored non-investment grade securities for potential write off.

Unrealized gain/loss analysis for minimization of realized taxable gains.

Senior Internal Auditor, June 1988- Oct. 1990

Performed operational audits of regional underwriting and claims centers. Reports were written highlighting control weaknesses and areas of non-compliance with established corporate operating guidelines.

Assisted the external auditors with the investment portion of their audit.

Parente, Randolph, Orlando, Cary & Associates Jan. 1986- June 1988

Williamsport, PA

Senior Accountant

Responsible for financial audits of various types of organizations (manufacturing, hospitals, banking, financial authorities).

Prepared financial statements and associated footnotes in accordance with Generally Accepted Accounting Principles.

Education

Bachelor of Arts, Accounting - Lycoming College, Williamsport, PA

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