System Conversion. Working on Compliance, Finance & Regulatory streams.

Consultant at Credit Suisse Dodd Frank regulations

Created project plan and Gap analysis to assist the client in converting to the Broadridge settlement system.Create detailed work flows of the client’s current state for Finance, Regulatory Reporting, Compliance, Chart of Accounts and Stock Record.Prepare Business Requirement Documents for each work flow.Trained the client’s staff on the Broadridge system.

performs Bank, Suspense, Depository and Stock Record Reconciliations. New Accounts performs account opening, documentation and KYC.ALDOP reporting Security Master performs a daily update of the firm’s static data base and manages the vendor feeds.Implemented Intellimatch to automated Bank, Suspense, and Depository Reconciliations.Manage the External Regulatory Reporting Department. Responsible for FINRA bi-monthly short reporting along with Fed Reporting Schedule 2004A, Schedule 2004B, & Schedule 2004C.Point person for FINRA, SOX, and Ernest & Young examiners. Responsible for Possession and Control Reporting.Perform 17a-13 Quarterly Cycle Count.Manage the Xenos Conversion Project for the Department. Prepared Procedure Manual for the Department.Created an Operations MIS Report that highlighted exposure and trends.Responsible for the monthly attestation of 300 account balances in the Account Owner Data Base.Directed twenty people, including budgets and reviews.Responsible for migrating functions to India. Currently managing a staff of thirteen. Risk Event Reporting for Operations including remediation of issues.

Bank, Suspense, Depository and Stock Record Reconciliations.Managed ADP Conversion project plan for the Department.Implemented Geac Smart Stream automated Bank and Depository Reconciliation.Prepared Procedure Manual for the Department.Point person for the Departments response to NYSE, KPMG, and Internal Audit inquires.Automated various reconciliations of front office trading systems vs. back office settlement systems.Directed Risk Reporting for Operations.Developed key performance indicators for Operational MIS Report.Responsible for ADP firm balancing.Filed Abandon Property for the firm.Prepared Anti-Money Laundering reports for the Compliance Department.Perform 17a-13 Quarterly Cycle Count.Managed eight to twenty people, including budgets and reviews.