Global Strategy Consultant - Remote Candidate

Objective: Global Strategy Consultant

Senior Manager with twenty years of experience providing Management Consulting solutions, Product Management, and Project Management for Institutional Clients, Broker Dealers, Global Banks, and Investment firms.

Supported Financial Advisors, Portfolio Managers, and Traders with Administration, Operations, and Technology requirements.

Senior Product Manager for Trade Processing, Securities Lending, Clearing, Settlements, and Custody business to process Equities, Fixed Income, Mutual Funds, Currency Payments & Transfers, and Anti-Money Laundering.

Managing Consultant for Digital Automation, Interfaces, Upgrades, and Conversions of Trade Processing, Clearing, Settlements, and Custody systems.

Managed Business Requirements process for Order Routing & Execution, Confirmations, Trade Finance, Trade Matching, Credit, Cash, and Collateral Management.

Professional Experience

International Travel & Personal Development 09/2023 - Present

Career break & relocation - due to personal reasons took time off to travel and enhance my global perspective.

Planned a trip to Barcelona, Lisboa, Taipei, Okinawa, and Seoul that resulted in being out of the USA for two months.

Managed a move to Malaga, Spain that involved analysis, logistics, legal, and financial planning.

Matrix Resources / Wells Fargo – Charlotte, NC 12/2021-04/2022

Senior Managing Consultant / Small Business & Commercial Bank

Senior Consultant responsible for managing the Enterprise Change Management project for the Regional and Branch senior executives.

Collaborated with senior management to improve the retail customer experience at the Branch and market the Relationship Bankers and Financial Advisors to create greater exposure for the products & services offered by the bank.

Reviewed the Project plan, Business Requirements, and Workflows for People, Processes, and Technology.

Participated in daily meetings for Sprint planning and weekly status reports.

Associate Staffing / LPL Financial – Fort Mill, SC 8/2021-11/2021

Senior Managing Consultant / Investment Management & Risk Management

Senior Consultant responsible for leading a $1 Billion USD de-conversion for thirty institutional clients from Fortigent into the LPL Financial Advisor platform.

Managed and aligned the Branch Vendors and Approved third-party projects with Legal, Compliance & Risk Management, and Information Security requirements.

Reviewed policies and procedures for Trading and Operations of Fixed, Variable, and Index Annuities.

Conducted weekly meetings with Relationship Management, Product Management and Compliance to review New Accounts, Client Onboarding, Order-Entry, Suitability, and Funding issues.

Interviewed Trading, Operations, Compliance, and Technology teams to improve the workflow for the Annuities Order Entry system.

Reviewed the Annuity Order Entry system and created workflows to document the FA Advisor journey map and touch points. Worked with Project managers, Programmers, QA, and UAT teams to deliver Financial Advisor functionality.

Synechron / Wells Fargo – Charlotte, NC 6/2020-4/2021

Senior Managing Consultant / Capital Markets & Wealth Management

Senior Consultant responsible for leading a $3 Million USD agile project for the Trust Accounting Income Processing department and transferring the client information from SEI Trust to an in-house system (3TERA).

Reviewed the Project plan, Business Requirements, Workflows, follow-up list, and the weekly report for Senior Management.

Participated in daily Stand-up meetings, Sprint Planning, Weekly Project Status, Backlog refinement of stories, Sprint Retro and Demos.

Worked closely with users, product management, quality assurance, and IT team to design Wire Frames and new screens for Asset Managers and Administrators.

Streamlined process to maintain project on track including scope, budget, resources, and delivery time frame.

Coordinated work for a team of twenty Product Owners, Developers, QA, and UAT professionals.

Cognizant / UBS – Weehawken, NJ 8/2016-12/2019

Senior Managing Consultant / Securities Based Lending & Collateral Management

Senior Manager responsible for leading $3 Million USD project, including the Project plan and Business Requirements. Maintained the follow-up list, and updated the weekly status report.

Reviewed test plans, schedules, and scripts for Clients & Financial Advisors to navigate new screens in the Origins system. The system allowed the users to load a portfolio of securities and receive a pre-qualification for Securities Based Lending – Non-Purpose Loans.

Managed testing of new screens and fields to On-board New Accounts. Populated AML - KYC information including Name & Address, personal information, identification procedure, ID documentation, account type, and purpose of loans.

Coordinated the upgrade and testing of the asset master file, including daily pricing, valuations, and asset classifications. Managed a reference data key using a combination of ISIN, exchange, currency and series/class.

Capco / Morgan Stanley, New York, NY 2/2013-12/2015

Principal Consultant / Securities Based Lending & Collateral Management

Managed five projects valued at 1 Million USD during the analysis, design, testing, migration and implementation phases. Trained and developed two Project Managers / Business Analysts responsible for writing Project Plans and Business Requirement documents for Wealth Management operations.

Managed meetings with Business, Operations and IT professionals to create the Project Plan and Business Requirements for the segregation of duties for Linked Asset Loans, Express Credit Lines and Collateral Accounts.

Conducted workshops and interviews with key stakeholders and Business Managers in the Front-Office, Middle-Office, Back-Office and IT to define the project scope and priorities and identify operational and technology risks.

Analyzed Business Requirements for a Prime Brokerage business including Margin Trading, Trade Processing, Securities Lending & Collateral Management, Clearance, Settlements, and Custody of securities.

Managed testing for QA, UAT, and migration of historical data for Wealth Management Accounts including holdings, pricing and account activity. Served as the Subject Matter Expert and provided training for a team of fifteen QA and UAT professionals testing Lydia and Phoenix Order Management & Trade processing applications for Equities and Fixed Income securities.

Infosys / UBS – Weehawken, NJ 6/2011-7/2012

Principal Consultant Presales / Wealth Management

Managed Global Trade processing projects for Wealth Management Americas in the range of $10 Million USD.

Trained and developed a team of seven Business Analysts responsible for partnering with QA team for the delivery of Front-Office projects.

Interviewed Business, Operations and IT teams to document workflows for U.S and International Equities and Fixed Income securities.

Reviewed Business Requirements and QA test cases for Order-Entry, Routing and Execution of Financial Advisor instructions via the Consultworks system.

Coordinated testing with QA and UAT teams to review client accounts, including holdings data and activity reports for cash and securities.

Computer Sciences / Morgan Stanley – New York, NY 11/2009-12/2010

Principal Consultant Presales / Wealth Management Policies & Controls

Managed Global Trade processing projects for Retail, Private Wealth, Advisory and Retirement Accounts in the range of $8 Million USD.

Prepared Project Plans and Business Requirements to document the Current State, Future State, Gap Analysis, and Workflows for Order-Entry, Routing and Execution, Trade Support, P&S, Clearing, Settlements, and Custody.

Interviewed users to document the Client Profile process, New Account opening, AML-KYC., Discretionary & Non-discretionary accounts, Financial Advisor document checklist, hosting/data warehousing documentation, creation of account number, authorization to trade, and welcome kit.

Trained and developed a team of four Business Analysts responsible for documenting over three-hundred Policies and Controls against the Target Operating Model during the merger with Smith Barney.

Interviewed Business, Operations and IT teams for U.S and International Currencies, Equities, Fixed Income, and Mutual Funds.

ICS Consulting – New York, NY 1/2003-10/2009

Clients: Reuters ITD, Charles River, SunGard DML, Broadridge, Thomson Beta

Director Project Management & Business Analysis / Trade Processing & Securities Lending

Trained and developed a team of twenty-five Project Managers, Business Analysts and Consultants responsible for writing Project Plans and Business Requirements for Capital Markets and Wealth Management projects valued at 3 Million USD.

Managed the requirements gathering process for FX Trades, Authentication, Matching, Daily Funding, Settlements, and Payment instructions. Documented the pre-advise process, Wire Funds, Nostro reconciliation, Cash Management and Treasury positions. Translated product documentation for FX Spot and Forward Deals and Risk Management in Latin America using the Kondor and Topaz systems.

Created Business Requirements for Tri-Party Securities Lending of U.S and International Government Bonds and Repurchase Agreements. Created Workflows for Exposure and Coverage, Collateral Management process and SWIFT messages with Bank of New York and Euroclear to manage international securities and currencies held in Global Custody.

Coordinated SunGard DML Securities Lending interface project, enhancements to the Security Master, Pricing, Global Depositories, Security Codes, Currency fields, Euroclear - Counterparty accounts, and User Acceptance Testing.

Created a business model to centralize the Client Services functions and provided a proactive service for the Institutional client base, including updated trade confirmations, daily activity and holdings reports for securities and currencies.

Wachovia Securities – Philadelphia, PA 12/2001-12/2002

Vice President / Trade Support Operations/Global Custody & Institutional Trust

Developed relationships with Senior Managers, Account Executives and Firm Traders to support the Portfolio Management and Trade Processing business.

Managed a team of three professionals responsible for researching Mergers & Exchanges, Mandatory and Voluntary Offers on behalf of institutional clients. Reviewed mandatory offers and convertible preferred issues, updated clients on the terms and conditions, and reconciled their internal accounts.

Coordinated SWIFT and Euclid interface projects with Technical Developers, Network Managers and Treasury Operations in Asia, Europe, North America and Latin America. Analyzed operational requirements and improved procedures for the Custody of international securities.

RESEARCH SYSTEMS, INC. – New York, NY 01/1999 - 12/2001

Manager Consulting Services / International Operations - Global Transaction Services

Developed relationships with Senior Managers, Account Executives and Firm Traders to support the Portfolio Management and Trade Processing business.

Managed a team of three professionals responsible for researching Mergers & Exchanges, Mandatory and Voluntary Offers on behalf of institutional clients. Reviewed mandatory offers and convertible preferred issues, updated clients on the terms and conditions, and reconciled their internal accounts.

Coordinated SWIFT and Euclid interface projects with Technical Developers, Network Managers and Treasury Operations in Asia, Europe, North America and Latin America. Analyzed operational requirements and improved procedures for the Custody of international securities.

CEDEL / CLEARSTREAM – New York, London, & Luxembourg 05/1992 - 12/1998

Product Manager / International Securities Clearing, Settlements, and Custody

Managed ten Customer Services Officers & Relationship Managers responsible for resolving sixteen-thousand inbound calls from Institutional Customers on a yearly basis.

Developed the Client Service desk for Latin American institutions and provided daily support in Spanish. Supported clients to conduct cross-border settlement of securities in Asia, Europe, Latin America (Mexico, Costa Rica, Curacao, Panama, Venezuela, Brazil, Uruguay and Argentina) and the U.S by effectively using deadlines and procedures, collateral, credit, and cash management process.

Coordinated the roll out, implementation and user training of the International Clearance, Settlement and Depository system for fifty users in Canada, Latin America and the U.S.

Prepared documentation for Securities Lending and Borrowing accounts - Institutional Clients and monitored the Lending/Borrowing agreements with the Credit Risk and Collateral Management Groups in London and Luxembourg.

Managed the implementation of the Electronic Order Routing and Trade Execution service for Institutional Clients. This effort led to improved communication links between U.S Clients and their Trading desks in Asia, Europe and Latin America.

Coordinated the rollout, implementation and user training of the Global Credit Support Service (GCSS) to manage assets and counter party risk due to Exposure and Coverage of Derivatives and OTC trading in the range of $300 million USD.

Education & Certifications

B.S - Organizational Management, St. Joseph’s College, NY 2001

Project Management Class - Alison.com, NY 2018

Project Management Class - St. Joseph’s College, NY 2000

Bilingual – English & Spanish

Freddy Falcones

Calle Pedrizal 13, Churriana

Malaga, Spain 29140

Mobile: +34-649****** Email: ****.********@*****.***

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