Project Manager

FREDERICK CARTER

Ho-Ho-Kus, New Jersey 201-***-**** ************@*****.*** www.linkedin.com/in/fred-carter

EXPERT BUSINESS & TECHNOLOGY PROJECT MANAGEMENT LEADER

Results-driven with expertise in banking, brokerage operations and technology with a strong emphasis in transaction processing, tax reporting, compliance and regulatory reporting, vendor management, risk management, program and project management and PMO execution. Recent and prior experience as a technology consultant, project manager, and developer provides a deeper understanding of mission critical deliverables across both business and technology enabling the generation of creative and efficient solutions.

PROFESSIONAL EXPERIENCE

BROADRIDGE, Newark, NJ

Senior Program/Project Manager

8/2019 to 6/2024

Lead project manager on a client implementation project, with a $33M budget, of the Broadridge IMPACT, BPS, GPS, GLOSS and MBSE software platforms. Managed requirements tracking, change request process, development and defect tracking via Jira, mock conversion planning and execution, UAT completion tracking and ownership of project plan. Responsible for weekly executive level status reports and created content for and chaired Steering Committee meetings with the client.

Lead agile project manager on a client implementation project, with a $600K budget, of the Broadridge FXL currency management application. Managed requirements tracking, change requests, scheduling, budgeting and financial reporting, invoicing, development and defect tracking via Jira, and ownership of project plan. Ran daily scrum meetings with internal product, development and conversion teams. Responsible for providing content for weekly executive level status reports and bi-weekly client Steering Committee meetings.

Created the Program Management Office for the Customer Communications IT organization. Drafted Program Lifecycle document along with the Program Status Report dashboard and reporting structure.

Worked with multiple project teams to integrate the Program Manager role into existing projects as a way to standardize data collection and reporting for senior management, which allowed them to easily target client onboarding efforts that were behind schedule.

Oversight responsibilities to ensure that the full SDLC lifecycle was being followed on each project and that required project artifacts were being created and archived in Sharepoint. Served as an escalation point from project managers to senior management in the four programs under my purview.

Successfully managed three client onboarding projects while adhering to a newly implemented, robust full development life cycle process. Also managed two internal factory integration and process improvement projects as part of an integration effort of best of breed factory software between two recently merged divisions.

MORGAN STANLEY, New York, NY

Vice President

5/2006 to 4/2019

Project Manager in the Tax Operations PMO.

Primary PMO for the Client Tax Reporting group working with Operations and IT management, compiling the annual portfolio of projects and executing on those projects selected. Tracked and reported progress, tracked resource usage against budget and addressed issues and risks as they arose.

Managed a firm-wide, multi-year IRS regulatory project to initiate the reporting of cost basis for different types of securities on Form 1099-B. Required extensive changes to Gain/Loss systems to capture and calculate the data and incorporate it into revised IRS forms.

Managed the firm-wide Foreign Account Tax Compliance Act (FATCA) regulatory project identifying US Source income for foreign accounts, putting in place a withholding regime capturing taxes due the IRS.

Performed analysis and implemented automation reports and processes to replace existing manual processes

Received Operational Excellence Awards for managing redesign of 24 tax forms from both Wealth Management and Institutional platforms as part of a switch to have new vendor perform composition as well as printing. Worked with Financial Advisors and form design professionals to produce the look and feel of the 1099 tax statement. The design was the fourth highest ranked tax statement design in a DALBAR review in 2016. 2.5M to 3M forms produced annually.

Managed a Morgan Stanley/Smith Barney Joint Venture work stream identifying all gaps between the two firms, prioritizing the most urgent gaps, designing and implementing solutions to bridge them.

Implemented e-delivery for 7 tax forms reducing printing and mailing expenses by $750K a year.

Implemented account linking for 3 high-volume tax forms which reduced expenses to the firm by $600K per year in printing and mailing costs by sending linked accounts in one envelope.

Added several supplemental sections to the 1099 tax statement providing clients with tax data presented in a strategic format to ease their tax preparation efforts.

Performed a whitespace reduction exercise reducing excess whitespace on the 1099 tax statement. Resulted in savings of $200K in annual printing and mailing costs.

Led project creating a utility allowing clients to download their 1099 data from 5 different tax preparation software applications. Maintained and tested the utility annually. 200-300K client downloads performed annually

Received Operational Excellence Award leading a project building a 1099 online aggregation tool allowing financial advisors to create an aggregated 1099 summary report with IRS box totals from each of the accounts selected.

Led project developing 5 IRS Compliance Letter applications. Client data was mapped and sent to print vendor, who composed the client letters. These were then printed and mailed and returned to MS systems for archiving and online viewing.

Led project implementing backup withholding on California State residents subject to Federal backup withholding.

Launched and managed the Tax Communications work stream included creating or updating all client, Financial Advisor, Branch and Call Center communications. Annually maintained and enhanced the Client Tax website on firm intranet (Sharepoint) to reflect any changes.

Worked with internal Creative Services department and print vendor to create the annual 1099 brochure sent to clients for both the Wealth Management and Institutional tax forms.

ENTERPRISE SOLUTIONS PROVIDERS, INC., New York, NY

Senior Technology Program/Project Management Consultant

3/1998 - 5/2006

Managed programs and projects at various financial services clients and conducted in depth business analysis after initial hire as a developer/technical expert.

Implemented several large scale installations of General Ledger systems for a number of firms including those in the brokerage, banking, telecommunication and power utility business.

Managed seven different project work streams supporting the integration/merger of two financial services firms requiring in-depth firm-wide analysis, requirements creation development, testing and implementation due to the extent of the technological impact.

Managed multiple initiatives as a member of the company’s Trading Systems Project Management Office. All required extensive research and planning, analysis, and coordination of multiple local and international divisions.

Inventoried and ranked major IT strategies for the firm and linked them to the strategic direction of the business. Built strategic roadmap for IT for the next 18-36 months.

Managed development of a front to back post-trade enrichment system, including a technology proof of concept phase establishing latency and throughput thresholds required by Front Office trading systems.

Managed the implementation of a front office bond trading system for a new Fixed Income trading desk in Mexico.

Managed efforts for a global Equities trading engine support and development team. Created training program for new developers, helped develop website and wrote technical, procedural and support documentation for internal and external use.

Managed full project lifecycle to extract all US Equity trade data from trade repository on a daily basis and feed them to a legal and compliance analysis system.

PREVIOUS PROFESSIONAL EXPERIENCE

Technology Solutions Company - Principal Technology Consultant

Dun and Bradstreet Software - Senior Technology Consultant

Salomon Brothers, Inc. - Senior Programmer/Analyst

Mutual Benefit Life Insurance - Senior Programmer/Analyst

EDUCATION

Bachelor of Arts, Economics, Tufts University, Medford, MA

Certificate, Securities Industry Institute, Wharton Business School, Philadelphia, PA

PROFESSIONAL ASSOCIATIONS

SIFMA – Corporate Actions Division

LICENSES and CERTIFICATIONS

PMP - Project Management Professional - Certified 2004

Scrum Master Certified (SMC)

Six Sigma Yellow Belt

FINRA Series 99 Operations Professional - Expired

Airco CLC Programming Certificate

CORE COMPETENCIES:

Budgeting and Financial Planning and Tracking Lean Methodology

Strategic Planning Relationship Management

SDLC Lifecycle Change Management

Resource Management Data Rationalization / File Mapping

Client Reporting and Withholding System Conversions and Implementations

FATCA and Cost Basis Reporting Initiatives QA and User Acceptance Testing

Operations and IT Project/Portfolio Management Full Project Lifecycle (inception to close)

Agile and Waterfall Methodology Experience Project Management Office execution

Automation Analysis and Implementation Defect and Change Request Management

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