Data Analytics Financial Analyst

Investment Operations Analyst

Performance Profile: I am a results-oriented, Financial Analyst with 20 plus years progressive experience. I have a strong Finance and Business background, with extensive experience in: Investment Operations, Trade Settlement, Reconciliations, Data Analytics, Treasury and General Ledger/ Accounting. I possess a proven ability to combine Holistic, Long-Term strategic thinking with a daily, detail-oriented, organizational approach.

Core Professional Competencies: Trade Settlement Life Cycle: (Equities, Emerging Market, Corporate Bond, High Yield, MBS/CMO/TBA) • Fixed Asset Management • Reconciliation Variance Analysis • Treasury Workstation • Peoplesoft Ledger • CAMRA • Currency Processing (FXCM) • Client Relations • SOX Audit Compliance • Employee Training and Supervision • Bank Expense Review & Control • Bloomberg • Corporate Actions • FINRA • GAAP Core Competency • SQL Data Analytics

Professional Experience

Lincoln Financial- Remote Position

OPERATIONS SPECIALIST—(1/2022—Current)

Processed wires for Private Placement/ Esoteric Fundings. Setup Legal “Schedule A’s” for deals.

Validated SMF data using BO Reporting and Bloomberg. Liaised with Data Governance to fix breaks.

Asset Transfers. Processed transfer of Securities and Cash at Custodian. Recon of Accounting.

Cash Management of balances for upcoming Portfolio fundings.

Confirmed daily trade blotter activity across all External Managers. Verified trade setup at the bank.

Processed FX Currency spot Transactions to maintain appropriate balances across currencies.

Worked on Project Team for New Business ‘onboarding.’

Deutsche Bank- Tampa, FL

TRADE SERVICING ANALYST— (4/2021 – 1/2022)

Liaison to Trading/ Sales Desks. Providing Trade setup, confirmation, reporting and reconciliation services across multiple Asset Types.

Corporate Action processing. Including DWAC to 144A conversions.

Scorecard reporting and Metrics for Audit purposes.

Citigroup- Tampa, FL

DATA TRACING CONSULTANT— (2/2020 – 7/2020)

Worked in unit with high visibility to Top level management; responsible for Stress Testing ‘Critical Data Elements’ (CDE) used for completion of various required Financial Reporting submissions.

Validated and scrubbed data received during Data Acquisition process to ensure Data Quality.

Identified Critical Data Elements (CDE) and sources for use in creating Data Profiling rules’ logic.

Programmed Paxata data analytics software to query appropriate database source tables for validation of Data Lineage of sample selections.

Aspire Financial- Tampa, FL

TRADE OPERATIONS ANALYST— (12/2015 – 10/2019)

Processed and Verified re-investment of Mutual Fund Dividend Cash.

Confirmed daily Mutual Fund Settlement for Trades and verified accuracy.

Processed daily valuation updates for Self-Directed Brokerage Accounts (SDBA) and “Outside Assets.”

Researched and Resolved negative Asset balances to mitigate financial exposure while pro-actively managing risk.

Monitored Group email inbox and CRM tickets; processing requests within 24hrs to maintain a strict timeframe.

MetLife- Tampa, FL

PRIVATE PLACEMENT ANALYST— (10/2010 – 10/2015)

Complete processing of large, multi-currency wires for ALL Private Funding deals. Coordinating with: Legal, Cash Management, Custodian Banks, and Capital Analysts to ensure timely settlement of funds.

Performed ERP validations of Security Master Data Files (SMF) for newly funded Private Placement deals (Coupon, Payment Frequency, Issue Date, Maturity and ‘Floating Rate’ reset calculations etc...).

Maintained Core Accounting/GAAP procedures for Fixed and Capitalized Assets (i.e. Accounts Receivable, Amortization, Cash Accruals, Corporate Actions, Interest Capitalization, Foreign Re-investment Taxes etc.). Prepared reconciling and recurring Journal Entries for Month-End Close process.

Cash Reconciliation of daily Investment cash flows for multiple currency accounts totaling in the Billions.

Responsible for Bank to Ledger Asset Reconciliation of $100 Billion plus AUM portfolio. In this role, through strategic utility of Scorecard Reporting Metrics, I refined procedures to reduce item count of system breaks by 70%; simultaneously allowing “Root Cause Resolution” of repeating monthly system breaks.

Worked closely with Audit to provide requested GAAP accounting details for various SOX/ GAAP compliance requirements (i.e. Income Accruals, Principal Amortization, Banking Fees, Non-recurring Income etc.)

Lead Testing Analyst for Private Placement group on PAM Accounting system ERP conversion projects: User Acceptance Testing (UAT), Regression and Stress Testing.

MetLife- Tampa, FL

TRADE OPERATIONS ANALYST-- (7/2005 - 10/2010)

Managed settlement of Equity; Corporate Bond; MBS/CMO; Municipal and Emerging Market trading for roughly $200 Billion, in “AUM,” across ALL MetLife portfolios.

Facilitated timely delivery of Futures Collateral, while also ensuring proper accounting entries were made to avoid accounting breaks.

Maintained monthly Trade Fails Reporting Database; serving as IT lead consultant on SOX audit request project to streamline and semi-automate our entire Fails Reporting process.

Assisted IT and Data Integrity Team with Powerflex to SQL conversion in CAMRA ERP Database; served as Settlement liaison for all Stress, Parallel and/or Regression Testing issues.

Analyzed monthly Custody Bank Billing charges for ALL MetLife accounts custodied at JPM Chase.

Trained/Mentored newly hired employees.

Citigroup Investments- Hartford, CT

INVESTMENT OPERATIONS ANALYST-- (1/01- 7/05)

Confirmed daily Corporate, High Yield, CMO/MBS and Equity Trades; resolving any discrepancies found.

Managed, end to end, $5 Billion plus monthly volume TBA allocation/settlement process. Coordinating Cash Management and processing counterparty ‘Pair-Off’/ ’Dollar Roll’ wires.

Maintained State Deposit Collateral requirements for continuing Insurance operations. Processed forms to coordinate Delivery/Receipt of collateral and maturing cash proceeds.

Worked with Custody Banks and Brokers to facilitate settlement of Securities and corresponding Cash.

Education

Bentley College; Waltham, MA

Finance

Computer Skills

Microsoft Office Suite, Peoplesoft, PAM, CAMRA, Bloomberg, Treasury Workstation; FXCM; JPMorgan Access; BI/BO Publisher, SAP Finance, Salesforce, Paxata, SQL, QC Project Management, NetSuite, Broadridge

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