Financial Services Professional and Business Analyst

Lisa Layne

*** ******* ******, *** ** • Brooklyn, New York, 11233 • (C) 917-***-****

(E) **********@*****.***

SUMMARY

Series 7 Financial Services professional with experience in Domestic & Global Custody and Client Services, Business Analysis and Project Management

Duties have included Fund of Funds, Hedge Fund and Mutual Funds Operations, Mutual Funds Trade and Brokerage Client Support and Business Analysis

WORK EXPERIENCE

HSBC U.S.A/ HSBC Securities Services New York, NY

Business Analyst 05/05-12/31/08

• Elicited and documented User Requirements for proprietary Fund of Funds trading system

• Coordinated business reviews of Requirement documents, incorporated agreed changes and obtained global sign off of final versions from all jurisdictions

• Documented existing processes and assisted in identifying areas of improvement for Global Custody Operating Model

• Presented to Business community via working demos, proposed changes identified in Operating Model Review

• Created and executed test scripts for existing defects, system enhancements and new system functionality

• Implemented functionality for Fund of Funds trading system that interfaced with Advent-Geneva

• Reviewed System and Functional Design documents to ensure adherence to specified business requirements

• Researched current techniques, systems and processes in place to determine changes to reduce costs, enhance efficiency and meet business needs

• Supported testers during User Acceptance Testing (UAT) cycles

• Interacted with third party vendor during all product development lifecycles (including system design, testing, defect review and implementation)

• Investigated system defects generated by Fund of Funds trading system while interfacing with accounting system Advent-Geneva

• Created system “workarounds” for end-users upon discovery of defects

• Fund of Funds Subject Matter Expert (SME) for development of proprietary Fund of Funds trading system

Fund of Funds Custody Supervisor

• Established excellent client relationships and providing high quality service for Hedge Fund and Fund of Fund clients by being the first point of contact for custody accounts

• Coordinated with FoF Administrators to ensure client dealing instructions are accurately executed

• Reviewed client transactions and generation of reports related to client accounts

• Assisted in cash management and supervision of assigned accounts by remaining in constant contact with other departments such as Investor Relations, Compliance, Accounting and Credit for assigned funds to ensure that clients issues are resolved favorably

• Updated client files and records, and follow up on client’s inquiries regarding custody and cash issues

• Scheduled and monitored workload to ensure personal and team deadlines were met

Fund of Funds Senior Client Administrator

• Administrator for Fund of Funds account responsible for maintaining adequate cash flow on 4 multi-million dollar Fund of Fund accounts to facilitate day to day transactions

• Maintained relationships with Hedge Fund Administrators for the timely and accurate settlement of Hedge Fund subscriptions

• Processed and completed documentation related to Hedge Fund subscriptions and redemptions

• Liaised with Fund Administrators to ensure subscriptions and redemptions are executed on a timely basis and monitor the life cycle of the transaction

• Maintained accurate client files and custody records, and followed up on client inquiries

• Obtained prices from fund administrators for underlying funds on a monthly basis and updated in-house system accordingly

• Reconciled custodian accounts to the underlying fund records by analyzing and resolving discrepancies created during the Hedge Fund subscription and redemption process

• Prepared and processed incoming and outgoing Money Transfer Payments

• Scheduled and monitored personal workload and the workload of those on my team

Brown Brothers Harriman & Co. Jersey City, NJ

Lead Operations Specialist III 10/03-05/05

• Accurately confirmed and settled domestic and international Mutual Funds, Fund of Funds, Euro-Clear and Hedge Fund trades on sensitive or high priority customer accounts

• Maintained close contact with Account Managers at BBH offices in London, Luxembourg and Tokyo to resolve settlement or fund company relationship issues

• Improved the turn around time for settlement of UK Mutual Funds by five business days by helping to establish and maintain relationships with fund companies and by being instrumental in instituting new settlement procedures regarding UK markets

• Managed renunciation documentation process for redemptions to ensure timely settlement of trades

• Monitored customer accounts from the placement of a trade with the fund company to the delivery of redemption proceeds or purchase of securities was completed

• Corrected Mutual Funds trades and maintained customer MF Trading accounts

• Sent and received Swift messages, Fed-Wires and money transfers to support the settlement process

• Researched and resolved exposure breaks generated by mutual fund redemption and purchase activity on customer and house accounts

• Balanced omnibus accounts for FISERV on a daily basis

DATEK Online Financial Services Jersey City, NJ

Special Services Customer Support Representative 05/01-09/02

• Interacted with over 100 Datek customers daily via telephone in typically under 4 minutes or by e-mail to resolve issues or concerns regarding their account-particularly trading, day-trading, mutual funds, stocks, retirement accounts, trouble-shooting technical problems with their online account, fund requests and transfer requests

• Provided technical support for all Datek customers experiencing difficulty with using the web site, placing trades, logging into their accounts or using other software programs used with Datek’s website, such as Quicken, GainsKeeper, Internet Explorer and Java

• Worked on special projects relating to opening new accounts and foreign customer’s tax status

• Educated customers by answering in depth questions about the NYSE, NASDAQ, Island and other trading markets

• Researched trades and “bad fills” for customers dissatisfied with their trade orders

• Manually received customer trade orders via telephone

• Assisted customers with general account maintenance

The Employment Line New York, NY

Various Temporary Positions 11/00-05/01

Assignments included: Carver Federal Savings Bank, College Board, Publicis NY, Frankfurt Balkind…

TD Waterhouse Securities/NISC New York, NY

Mutual Funds Associate 07/99-07/00

• Received and delivered mutual funds positions from contra brokers and mutual fund companies via customer account transfers on ADP

• Processed liquidation requests for customers entering TD Waterhouse Securities

• Balanced TD Waterhouse’s Mutual Funds customer cash account on a daily basis

• Delivered fails, helped resolve breaks in house accounts, and responded to buy-in notices

• Consulted with other brokerage and mutual fund companies to verify and complete transfers

• Maintained customer accounts by “booking” shares and cash on ADP system to “house” accounts

EDUCATION

New York University New York, NY

Bachelor of Science 05/99

Communications

ADDITIONAL INFORMATION

Series 7 Licensed, Microsoft Applications (Excel, Word, Visio, PowerPoint, Access), ADP, Xcitek, Advent Geneva, NTAS, Mercury Quality Center, Bloomberg, Knowledge of Software Development Lifecycle, RUP, Global Custody, Hedge Fund and Fund of Funds Operations, Basic SQL

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