BUSINESS / FINANCIAL ANALYST WITH OPERATIONS, PROJECT, AND BANKING/BROKERAGE EXPERIENCE

Action-oriented financial services professional with proven success in creating process improvements and developing initiatives that result in exceptional customer service and enhanced systems development. Consistently recognized for delivering significant cost savings by mitigating risk and devising solutions that promote increased efficiency, performance, and productivity. Extensive experience in organizational change, data analysis, operations, automation, communications, compliance, and project management. Decisive leadership competencies, and adept at responding to evolving strategic demands, maintaining competitive skill sets, and strengthening client relationships.

Developed a roadmap for the automation of Sub-Custodian Contracting, Billing, and Feedback Capture.

Ensured the accurate and timely delivery of over 1.8 million 1099 forms.

Secured $10 million in additional revenue with the implementation of SWIFT messaging.

Saved $500,000 with the rollout of a data scrubbing system, achieved $300,000 in legacy system retirement.

Managed $15 billion in physical stock transfers and 20,000 Vault positions with a value of $4.5 billion.

PhD Candidate, MBA Degree – former Series 7, 24, 63, 99 license holder.

PROFESSIONAL EXPERIENCE

SUMITOMO MITSUI TRUST BANK (USA) LIMITED, Hoboken, NJ 2015 - Present

Lead Business Analyst, Information Technology

Acted as primary liaison between IT Development and all Business Areas in creating Business Requirement Documents (BRDs) and managing projects for the American subsidiary of a Japanese Global Custody Services Bank.

Participated in all aspects of the SDLC: identifying requirements, designing screen mock-up, coordinating efforts and meetings with key stakeholders, testing, defect tracking, and post implementation reviews and support.

Served as team member for numerous high-profile projects: new Network Management System, Account Master system, General Ledger Replacement, Regulatory Enhancements: KYC/AML Compliance, SFTR Reporting.

Successfully served as Project Manager in the absence of dedicated Project Management resources.

Developed RFPs and helped conduct vendor meetings and perform product evaluations as necessary.

Consistently added value and delivered results in a challenging, diverse, multilingual, international setting.

E*TRADE FINANCIAL CORPORTION, Jersey City, NJ 2013 - 2015

Lead Business Analyst, Client Reporting

Served in dual capacity as subject matter expert in cost basis exception processing while collaborating with customer service, operations, systems, and project management on internal enhancements and system defect remediation.

Coordinated efforts of technology, business, and vendors to accurate and timely generate 1.8 million 1099 forms.

Led a project for identifying, confirming, and uploading cost basis on assets received in physical form.

Served as point person for the daily identification and resolution of cost basis position reconciliation breaks.

Researched and addressed complaints from high value clients regarding 1099 and cost basis discrepancies.

Formally recognized for providing exceptional customer service. Conducted daily training sessions to enhance the investor experience, streamline problem resolution, and improve the finesse level of communications.

PERSHING DIVISION OF BNY MELLON, Jersey City, NJ 1995-2012

Assistant Vice President, Corporate Actions - Reorganization and Dividends (2007 – 2012)

Acted as an analyst and liaison between technology groups, project teams, and business units during assessments of risk, the identification of growth and efficiency opportunities, and the development, testing, implementation, and support of system enhancements, client solutions, and compliance/industry related mandates.

Partnered with IT to implement SWIFT messaging and secure a new client with annual revenue of $10 million. This distinction positioned Pershing as a global competitor capable of pursuing lucrative international business.

Contributed to the development of an announcement data scrubbing mechanism. Saved the firm $500,000 in cost savings through automation, economies of scale, and the elimination of redundancy.

Identified and prepared obsolete legacy systems for retirement, saving Pershing $300,000 annually.

Wrote hundreds of Microsoft Access VB 3270 screen scraping applications that increased cost savings and eliminated manual processes. Rewarded after one such program saved the firm $40,000 after its first use.

Composed system requirements, authored training documentation, and coordinated various communications between Project Management, Marketing, Compliance, Operations, Technology, and Senior Management.

Selected to act as a ‘Readily Deployable Associate’ during market disruptions due to the flexibility gained from extensive knowledge of the firm’s systems, operations, and inter-departmental relationships and dependencies.

Supported Pershing’s ongoing commitment to inclusion and diversity by routinely volunteering to participate in internal/external mentoring, annual intern programs, and offering communications skills training to coworkers.

Assistant Vice President, Account Transfers (2002 - 2007)

Managed three departments with a staff of 10 associates and 3 supervisors: Claims Processing, Fail Exceptions, and Non-ACAT Delivery, while developing and supporting system enhancements, special projects, regulatory directives.

Honored with numerous awards for outstanding service. Chosen to appear in a video promoting Service Excellence for the purpose of advertising and showcasing Pershing services. Video also featured in Pershing’s inaugural Annual Progress Report and was delivered to thousands of Introducing Broker Dealers worldwide.

Single-handedly replaced a manual process with an intricate set of programs that interacted with mainframe systems to provide an efficient, rules-based product complete with MIS, error reporting, and residual processing.

Teamed with IT and management to migrate from an antiquated, paper-based legacy system to a dynamic Web-based proprietary imaging solution, allowing document processing to occur in virtually any geographical location.

Senior Operations Manager, Custody Services (1995 – 2002)

Managed Restricted Legal Transfer, an area that processed stock transfers with an annual value of $15 billion. Managed the daily Cage operations and maintenance of over 20,000 asset positions worth over $4.5 billion. Managed Pending Papers, a physical box location with a market value in excess of $250 million. Staff of 15 associates and 3 supervisors. Also served as data analyst during the implementation of projects/system enhancements.

Acted as liaison between Pershing, DTCC, outside vendors, and transfer agents during the development and implementation of a new Custody system that allowed the firm to reduce costs through securities outsourcing.

Oversaw Pershing’s annual SIC Billing project, which resulted in $55,000 in annual revenue.

Reduced risk and enhanced control by achieving four record quarterly securities verifications in eight attempts.

FIRST FIDELITY BANCORPORATION, Newark, NJ 1993 - 1995

Operations Analyst, Management Associate, Corporate Operations and Systems Development

Served as an analyst and liaison between business operations and auditing groups to identify and mitigate operational, regulatory, and reputational risk. Recruited to participate in a prestigious management training initiative designed to transform exceptional individuals into the organization’s next generation of leadership.

EDUCATION

PhD Candidate, Walden University, MN - in progress, expected graduation 2021

School of Management and Technology: Applied Management and Decision Sciences

Specialization: Leadership and Organizational Change

Master of Business Administration, St. Peter’s College, NJ

Dual Concentration: Management and Management Information Systems

Summa Cum Laude, Cumulative 3.96 GPA (99%), Dean’s List

Bachelor of Science, St. Peter’s College, NJ

Major: Business Management, Minor: Economics

Summa Cum Laude, Cumulative GPA 3.88 (97%), Academic Honor Society ‘MNOP’, ranked amongst the top ten in the graduating class, School of Business Administration Gold Medal, Full Four-Year Academic Scholarship, Dean’s List

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