Quality Control Vice President
Resume:
Isabel Garcia
Montville, NJ **045
Summary
Extensive experience in financial services with a high concentration of expertise in Foreign Securities, Municipal Bonds, US Government Securities, Asset Swaps and Repurchase Agreements. Excellent track record of effectively managing people and managing multiple projects within strict time and budget parameters.
Major strengths include the highest personal and professional integrity and ethics while performing:
Detailed Analysis and creative problem solving
Effective interpersonal skills
Technical understanding of bank and industry protocol
Leading and participating with associates in a business team approach
Training and developing associates
Knowledge of multiple bank systems and procedures
Effective experience working with regulators, internal and external auditors, compliance and legal dept
Professional Expertise
SG Americas Securities LLC, Jersey City, NJ
Vice President-Know Your Customer/New Accounts Dept March 2005 to October 2008
Responsible for performing the ” know your customer” due diligence on existing and new US/Foreign clients. Ensuring the integrity of the data is maintained and monitored on all reference systems, data bases and check points.
Responsibilities:
Ensuring compliance is consistent with Department/Bank Policy, confirming proper protocol is implemented and controls are checked for all account creations, remediations and closures.
Ensuring work queues are monitored and cleared daily, for quality control and timing purposes.
Reviewing the Errors and Omissions;assisting in preparing proposals to improve processing methods to prevent future occurrences and reduce risk.
Interfacing with Front Office, Compliance, Legal and IT Depts to ensure success of new business initiatives and system enhancements.
Monitoring the implementation of policies, procedures and controls.
Troubleshooting complex inquiries and working with other depts, front office, sales, legal and compliance to resolve issues.
Accomplishments:
Remediation of Bank and Brokerage customer accounts to ensure all data is accurate and current per Patriot Act, BSA, AML, CIP and internal procedures and controls.
Societe Generale, Jersey City, NJ October 1993 to March 2005
Vice President-Fixed Income Operations
Managing and developing back office operations team including seven professionals. Responsible for the quality and integrity of daily operations including confirmation, settlement, accounting and reporting on trading and investment portfolios in excess of $30 billion while maintaining minimal acceptable ratios in turnover and errors.
Responsibilities:
Creating static data for customers, issuers, desks, portfolios and legal entities
Reviewing and monitoring foreign and USD reconciliation reports
Research and resolving system suspense discrepancies
Managing daily and monthly reconciliation processes
Implementing and monitoring accounting static data
Compliance Reporting
Accomplishments:
Key member of the Smark Survival Team, which successfully automated various back office functions resulting in a more efficient and streamlined approach.
Appointed Accounting Team Leader for Calypso conversion approving all accounting tests prior to live system conversion.
Appointed to transition team to study and formulate outsource strategy for back office operations.
Recovered in excess of $2 million by identifying and resolving erroneous GSCC fees.
Routinely researched and recovered significant amounts of money by resolving system errors while uncovering misallocated funds applied to trading P/L's.
Responding to corporate priorities by effectively managing the clearance operation for an extended period.
Effectively leading a professional team organized to resolve aged USD cash reconciliations.
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