George M. Bollenbacher

** *** ********* ***, ********, NY 10562

Cellular phone 914-***-****

email: ad1jym@r.postjobfree.com

Linkedin https://www.linkedin.com/in/george-bollenbacher-5b34661/

Skype ID: live:.cid.37f901600e5020e2

US Citizen

Covid vaccinated and boosted

HIGHLIGHTS

•I am an experienced program/project manager and business analyst with in-depth knowledge of the financial markets, risk management, financial regulation and compliance, investment management, market operations, and financial technology.

•I have managed many PMO technology projects to successful conclusions under tight time constraints using both agile and waterfall methodologies, as well as Jira.

•I have led major global banks in complying with CFTC regulations, Dodd-Frank, MiFID II and MAR, including derivatives.

•I have received an IBM invention achievement award for a trading system prototype.

•I have trained 900 front office staff on derivatives reform at a major global swap dealer.

•I am experienced in data analysis using SSMS.

•I have led a major global bank PMO in building a delegated reporting capability for US customers dealing in EU instruments.

•I have provided leadership and expertise on PMO projects to comply with the CFTC’s swap dealer requirements.

•I have utilized the FIX protocol in a project to apply it to repurchase transactions.

•I have taught classes in financial market subjects at the Securities Operations Forum, Marcus Evans and Tabb Training.

TESTIMONIALS

“George clearly has many years of working in the Industry behind him and has an extremely deep knowledge of Financial Products and Capital Markets. During his tenure at the bank he was able to dig into some complex Data Quality and data / process gaps with minimal oversight and was able to use his knowledge and tenacity to work effectively with stakeholders in both Front Office and the Risk Data Consumers to lead discussions and bring about agreement on a resolution. He is also technically proficient and a very effective communicator and team player.” Bank of America

“As a Regulatory Business Analyst George was excellent at helping to interpret guidelines and assist developers in the construction of the necessary reporting. George did an excellent job managing and keeping informed all relevant stakeholders as well as Senior Management. He is a delightful and easy person to work with in any team.” RBC

“George Bollenbacher was a contractor who worked with us on regulatory projects for over six months. George possesses extensive regulatory knowledge that was extremely helpful. He ingrained himself in the team and quickly learned who he needed to work with to obtain the required answers. George possesses a rare talent in knowing whom to ask questions of and how to ask those questions. He continues to follow up and gather the information he needs to move a project forward. His ability to dig to gather data and information that was needed without getting frustrated is an extremely helpful trait. George is willing to roll up his sleeves and analyze data, write BRDs, do whatever is requested and needed for the job at hand. He was a pleasure to work with.” Deutsche Bank

“George is a ‘go-to’ resource for the firm for Capital Markets, Trading and Dodd-Frank knowledge. George served in PM, BA and SME roles across multiple projects. George was asked by the client to return because of his subject matter expertise, to enable the client’s employees to leverage George’s knowledge across a number of their deliverables. George’s focus on changes in the marketplace including clearing regs has made him that rare consultant that not only create significant value while on client projects but also creates significant firm brand and marketing value by authoring position papers and/or reviewing new topics from key industry players.” Knowldegent Group

“George’s contribution to the success of the project was enormous. His detailed product-specific, general investments, and systems knowledge are outstanding. He is an excellent communicator at many levels, and is highly sensitive to project and task timelines, never failing to meet an assigned deliverable; an enviable record. He acted as advisor to senior management, and was sought out on all issues and challenges facing the team. George is a tenured and seasoned professional—he brings a wealth of knowledge and experience gained in world-class environments to bear on his assignments. He is a highly creative problem solver, and his observations on improving internal dynamics were very insightful. I enjoyed working with George and can recommend him highly.” Putnam Investments

“The teams and individuals with whom George worked will miss his cogent thinking, his vast and deep business, technical, financial services, process, and project knowledge, his collaboration and teamwork, and his insights. They will miss his functional knowledge of operations, technology, management, and governance. Finally, they will miss his devotion to client, quality, team and deliverables, and his esprit de corps.” Lehman Brothers

“George played an integral role on the Advent Geneva Integration project, providing subject matter expertise in the areas of Futures, Fixed Income and Derivatives. He was quick to pick up the mechanics of the Advent Geneva product and direct our focus in the functional specification and use case development cycle. He successfully processed instruments from our data preparation stage, through portfolio accounting and the final reporting stage by setting up prototypes. It was here that his knowledge was magnified as he assisted the business to refine the initial requirements. George successfully delivered comprehensive specifications, use cases and test scripts which accelerated our development cycle. He will be a valuable asset to any financial firm.” JP Morgan Chase

EXPERIENCE

G. M Bollenbacher & Co., Ltd. (S-Corp) - President and Owner – 3/2020 to present – at Innova I managed PMO projects and provided expertise on managing risk data for a large US bank. The job required: 1) assessing the data management processes, 2) investigating data anomalies, and 3) designing data storage and transfer processes. All this work had to be managed in an environment of high production demands on staff and technology. Because of an nda, I cannot reveal the client name.

At HAN IT I assisted a major broker/dealer in reporting customer trades to FINRA under SEC regulation. The effort required: 1) analyzing the processing of customer trades through various applications, 2) determining why the trades were not being reported as required, 3) designing a data and workflow to properly report the trades, and 4) testing the reporting flow. Because of an nda, I cannot reveal the client name.

At Synechron I also assisted a major global bank PMO as a senior BA in improving the quality of accounting for and processing mortgage backed securities (MBS) trades and positions. This effort required a detailed analysis of work- and information-flows, profit and loss calculations, and data integrity. It required continuous interactions with trading desks, operations staff, and technology developers and utilized Jira. Because of an nda, I cannot reveal the client name.

At FStone Technologies, I also served as a senior business analyst in a data warehouse PMO project at a major technology vendor to asset managers, wealth managers and dealers. In this role I led several initiatives to: account for bank debt as an investment, enhance fund accounting and performance reporting across multiple portfolio segments, and upgrade the securities identification system and utilized Jira. Because of an nda, I cannot reveal the client name.

I authored several research papers on market structure topics, including the impact of exchange traded funds and Libor replacement.

Tabb Group – Head of Fixed Income and Currencies– 8/2018 to 3/2020 – I managed the fixed income and currencies research practice for a global research firm. In that capacity, I published research reports on the evolution of the fixed income markets, including such topics as:

•Application of FIX Protocol to Repurchase Transactions

•The Replacement of the IBORs

•Regulation of Electronic Bond Markets

•Best Execution in an Algo World

•Regulating the Repo Markets

•Bringing the Corporate New Issue Market into the 21st Century

I developed a structured approach to the replacement of the various Libor rates, which was shared with subscribers to TABB Group research services, and taught a course in Libor Replacement for TABB Training.

I chaired the Tabb Group annual Fixed Income Conference. I also taught courses in various market subjects for Tabb Training.

Capital Markets Advisors – Partner – 1/2014 to 8/2018 – I managed the Market Evolution Consulting Practice. As a BA part of that function, I led swap dealers in responding to CFTC regulatory reform, coping with both US and EU requirements. I started the Capital Markets Working Group, to address industry concerns over derivatives and market reforms. I published articles and videos on reform topics of current interest. Overall, I developed a consulting business.

2017-2018: As a contractor, I provided expertise and BA leadership to a major international bank in complying with MiFID II on their Sophis system using agile methodology and Jira. What I did:

1.Remediated the reporting of packaged transactions under EMIR 2.0 and MiFID II.

2.Ensured that the bank complied with MiFID II RTS 27 and RTS 28.

3.Applied FIX protocol to MiFID II reporting requirements.

4.Ensured that the bank could properly transaction report and trade report equity-based transactions.

5.Ensured that the bank was able to reconstitute transactions per MiFID II requirements.

2016-2017: As a contractor, I provided expert background information in two high profile lawsuits regarding the bankruptcy of a futures commission merchant, in the areas of fixed income trading and protection of customer balances. Both suits settled before trial with significant damages.

2015-2016: As a contractor, I led a major global bank’s wealth management unit in complying with CFTC rules, MiFID II and MAR, and fund accounting, including derivatives using agile methodology. What I did:

1.Analyzed the conditions under which various entities would be subject to both MiFID and MAR;

2.Analyzed the impacts for those entities of 1) being subject to the regulations and 2) being out of scope;

3.Analyzed the specific technology impacts on those entities of individual requirements contained in both MiFID and MAR;

4.Wrote BRDs for all MAR requirements and most of the MiFID requirements for those entities;

5.Consulted with business management, compliance, and project teams in other geographies so as to coordinate efforts as much as possible.

2014-2015: I led a major global bank in building a delegated reporting capability for US customers dealing in EU instruments, utilizing the FIX protocol, using agile methodology. The bank had developed delegated reporting for EU customers, but had neglected the same capability for US customers. The effort was complicated by the bank’s practice of combining transactions done with subsidiaries into the parent for reporting purposes, causing erroneous reporting under MiFID II and EMIR. The job required detailed analysis of transaction flows and reporting, and follow-up monitoring to make sure the technology changes persisted.

G. M. Bollenbacher & Co., Ltd (S-Corp) – President and Owner – 1997-Present – I completed multiple consulting assignments as set out below:

Deutsche Bank, NY – Senior Consultant – 8/2013 to 12/2013 – As a contractor, I provided expertise and leadership on a project to comply with the CFTC’s swap dealer requirements.

Kinetix Trading Solutions – Senior Managing Consultant – Regulatory Reform Practice – 1/2011 to 8/2013 – As a contractor, I managed the practice to implement Dodd-Frank reforms, concentrating on Title VII (OTC Derivatives) and Section 619 (Volcker Rule), utilizing the FIX protocol and agile methodology.

Knowledgent Group Inc. – Senior Managing Consultant – 9/2010 to 1/2011 – I managed several projects to: implement a wealth management reporting system, design improved trade entry and tracking systems utilizing new reference data, and direct mutual fund and annuity processing for National Financial Systems. I developed the firm’s competencies in trading and clearing OTC derivatives under Dodd-Frank.

TIAA-CREF, New York, NY – 1/2010 to 9/2010 – As a Project Manager/Business Analyst on contract, I managed a project to select and implement fund accounting and risk management software for investments in agricultural land, standing timber and oil & gas.

Citicorp, New York, NY – 2/2009 to 1/2010 – As a Project Manager on contract, I managed the product implementation of a replacement for the Smith Barney platform for Personal Wealth Management and fund accounting.

J P Morgan Chase, New York, NY – 1/2007 to 2/2009 – As a Business Analyst on contract, I provided business expertise and project leadership on a project to replace the firm’s Prime Brokerage reporting system with Advent’s Geneva software.

Lehman Brothers, New York, NY – 3/2006 to 1/2007 – As a Project Manager/Business Analyst on contract, I provided business expertise and project leadership on a project to build a wealth management reporting system.

Christian Brothers Investment Services, New York, NY – 11/2005 to 3/2006 – As a Project Manager/Business Analyst on contract, I provided leadership and expertise on a project to replace a performance reporting system with Eagle’s Pace application.

BancofAmerica Securities, New York – 1/2005 to 11/2005 – As a Project Manager/Business Analyst, I provided leadership and expertise on two projects in the fixed income area. The first project was to replace the Bloomberg trading system for fixed income, and the second project was to provide real time risk information for credit derivative trading.

Charles Schwab, San Francisco – 6/2004 to 1/2005 – As a Business Analyst, I provided leadership and expertise on a project to design, test, and install Eagle’s portfolio accounting system.

Franklin Templeton Investments – 10/2000 to 8/2003 – As a Project Manager/Business Analyst, I managed a project to install, upgrade, and support the Mint SWIFT middleware system. After nine months of work, half the project team, all the hardware, and all the copies of the software were lost on 9/11/2001. We brought the project live within two months.

Thomson Financial Electronic Settlements Group (Thomson ESG) -2000 – As a Project Manager/Business Analyst, I conducted a worldwide market research project.

State Street Bank – 1999 to 2000 – I developed and taught a two day seminar on investment manager operations.

Prior to 1998 – I spent 20 years (1967-1987) as a trader and salesman in various Wall Street firms, among them PaineWebber, Donaldson, Lufkin & Jenrette, and Chase Manhattan Bank. From 1987 to 1997, I worked in the services practices of IBM and Unisys, specializing in applying technology to the banking and finance industries. In 1990 I received a patent award from IBM for a trading system prototype. In 1997 I began freelance consulting, managing a SWIFT implementation at Alliance Capital Management.

PUBLICATIONS

BOOKS

The Professional’s Guide to the U. S. Government Securities Market

The New York Institute of Finance, New York, NY

The New Business of Banking (1st and 2nd Editions)

Irwin Professional Publishing, Burr Ridge, IL

Banking Strategies for the 90s

Lafferty Publications, Dublin, Ireland

ARTICLES

Market Evolution Series

Tabb Forum

EU Regulations Series

Tabb Forum

EDUCATION

Bachelor of Arts

University of Illinois, Urbana, Illinois Major: Economics

Graduate Study

London School of Economics, London, England Course of Study: Finance

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