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Quality Assurance Manager

New York, NY, 10016
August 20, 2012

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* ***** ****

Monroe, NY *****

Cell: 917-***-****



I am a skilled professional with a proven record of exceeding expectations and building solid teams.

Highly competitive, disciplined and a performance driven executive with 28 years of financial management experience. Possesses a solid understanding of a diverse range of business management applications including operations, analysis and quality assurance. Capable in back-office operations and administration with sharp eye for examining procedures and taking constructive action to improve efficiency and cost savings.

Employment History

James W. Giddens, as Trustee for the SIPC liquidation of MF Global Inc.

November 2011 - Present

• Assisting in the liquidation process, working with the Trustee, Deloitte and Ernst & Young providing research and analysis of Trade Processing and Funds Movements.

MF Global: New York, NY January 2011 – November 2011

Vice President, Fixed Income Operations

Oversee fixed income clearing, tri-party processing, principle and interest payments, and reconciliation of $3 billion in assets.

Lead a team of 6 administrators and lend support to various internal groups.

Reconcile and prove P&I and coupon payments.

Confirm trades and prove the FICC.

Research and resolution of trade discrepancies.

Verify collateral eligibility.

Process collateral substitutions and margin calls.

Implemented a best practice structure into department and streamlined daily routines.

Identify and minimize operational risks associated with fixed-income processing.

Institute new policies and procedures to enhance overall performance and productivity.

BNY Mellon: New York, NY June 1984 – January 2011

Vice President, Fixed Income Operations and Collateral Management

Lead up to 3 AVPs, 3 Operations Managers, 5 Supervisors and 25 Administrators.

Directly accountable for as much as $350 billion in federal clearance and collateral management.

Identify and minimize operational risks associated with fixed-income processing.

Manage tri-party contract group which entails account set-up and maintenance, establishing DDA, account ID and account name, processing account information, contracts and documentation, and arranging parent purchaser ID, dealer ID and wire instructions.

Maintain the integrity of the Collateral Management database.

Implement and incorporate a best practice structure into department and streamline daily routines.

Institute new policies and procedures to enhance overall performance and productivity.

Manage Business Quality Assurance group UAT testing of enhancements and new products/projects.

Enhance the GSCX system to incorporate functionality from the Irving Eclipse system

Develop and test the Collateral Management System (Repo-Edge/Access-Edge)

(1 of 2)

Introduce and UAT test new technical concepts to increase proficiency.

Design the GSCX Display Cash Position Screen

Provide input on re-hypothecating of collateral

Provide input on the development of the NFE screen to include DTC collateral

Provide input and work with developers on all FRB NYC initiatives – Automated Deal Matching – Auto Cash Substitution, late unwind of Tri-Party collateral and Automated Deal Matching.

Served as Site Manager for BDS office in Woodland Park New Jersey, Facilities Manager and Business Continuity Coordinator for multiple units.

Provide monthly headcount updates to Executive Committee.


Promoted four times during tenure with BNY Mellon.

Learned all aspects of the department and assumed additional tasks not related to immediate responsibilities.

Recognized for outstanding performance by Chief Operating Officer.

Proficient in GSCX and Access-Edge, RDARS and Inform

Knowledgeable in MS Word, Excel, Outlook and Visio.

Some knowledge with Sungard (P3)


Farmingdale University Major: Mechanical Drawing Farmingdale, NY

(2 of 2)

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