Project Manager in the Asset Servicing Technology Division

Vice President, Institutional, supported North American Settlements • Formed and managed Run-the-Bank area, which had responsibility for production support and smaller enhancements, coalescing disparate elements into one functioning team. Completed Project 10, streamlined mainframe system to efficiently process 10 million trades per day.• Organized training program to share knowledge in systems and functions Run-the Bank supported.• Managed six on-shore employees, five on-shore consultants and seven off-shore consultants.• Supervised ongoing work in small projects area, including rewriting GUI platform from VB to C#, integration of MSMPI, MSES and Morgan Stanley Bank into MS&Co accounting structure.

Responsible for management of several front-office and back-office applications, including development of several key components of Financial Advisor workstation. Developed and Instructed TECH 101, course designed to explain computers and computer systems to non-technical employees. Have concurrently managed staff of 32 people in four major applications.

For Retail, supported Statements Renovation • Served as stream leader to decommission Legacy Statements, interfaced with other application development areas to formulate a strategy to replace files that systems read.• Renovated Tax System to process daily feeds of taxable and nontaxable events instead of monthly feeds, gave tax department flexibility to run preliminary 1099’s at any time during month instead of only month-end.

For Retail, supported Trade Confirmations • Collaborated with Legal and FID trading to correct several problems in trade confirmations.• Spearheaded transformation of data on confirms from shorthand codes to ‘Plain English’ descriptions• Changed mailing prospectuses to adhere to ‘Access is Delivery’, eliminating prospectuses for SEC-registered offerings. • Led effort to print research opinions on confirmations of stocks Morgan Stanley Research followed.• Developed new confirmation formats for Insurance and Mutual Funds. • Built a system to support special prospectus mailings at ADP, required by Managed Account department’s removing a fund from approved list and replacing it with another fund.• Implemented mailing prospectus confirms from ADP instead of Morgan Stanley warehouse• Constructed prospectus database to track ADP’s performance and satisfied requests to verify prospectuses were sent.

For Retail, supported Equity Syndicate • Revised Syndicate system to support the Initial Public Offering of Google stock, built Dutch Auction system instead of bid-and-allocate system. Morgan Stanley retail was primary retail participant, and as such, completed designing auction cycle for retail. • Developed IPO Center on public website, ClientServ, where Internet clients Indicate Interest in IPO stocks.• Transformed document management tool used by Equity Syndicate into firm-wide standard for intranet publishing, formed governance committee to prioritize enhancements, process feedback and standardize technical support. By replacing costly and unwieldy vendor package, system has saved millions of dollars and increased business satisfaction.

For Retail, supported ACATS, (Automated Customer Account Transfer System) and P&S, (Purchase and Sales)• Implemented full suite of DTC ACATS transfer options, partial receive and delivers, fail reversals, reclaims and mutual fund cleanups in addition to full transfers. Centralized most account transfer activity in ACATS system.• Began developing ACX, transfer of securities to other firms ex-ACATS. This completed consolidating all account transfer activity in one Application Development and Operations area• Implemented changes in Commission Schedule when upper management revamped major funding model for firm. • Led effort to capture Uniform Books and Records data for orders and accounts in response to SEC mandate.

For Retail, supported Prospectus Rescission • Led effort to support rescission of thousands of trades whose trade confirmations inadvertently omitted security prospectuses. Tested millions of trades’ eligibility for rescission, designed database, developed payment formulas with controllers and designed system that supported front-end rescission tool for Rescission Support Unit and outside vendor.• Supported filtering of trades and building Blue Sky Rescission system, a subsequent rescission based on suitability of trading securities in different jurisdictions.

For retail, originally hired by Dean Witter Reynolds• Implemented Stock and Options Order Entry for both FA workstation and ClientServ, internet client system. • Built STEP basket trading system for clients to buy stocks in equal-dollar weighted positions with one dollar-amount ticket. • Designed and implemented Activity Browse and Trade Activity Report, gave FA’s and branch managers consolidated view of trading activity.• Constructed Order Manager, which allowed stock, options, mutual funds, fixed income and STEP orders to be entered 24x7. • Supported Grapevine, in-house communications service and backbone of communications for all workstation applications.• Supervised relocating OTC trading desk from 2 World Trade Center to 1585 Broadway to centralize all OTC traders.• Supported principal trading of $25 par preferreds which remained under Fixed Income jurisdiction.

Broadcort Capital Corporation is a wholly-owned subsidiary of Merrill Lynch. At the time I worked for them, they processed Correspondent Clearing for smaller brokerage firms. I developed a statement system that better distinguished the Broadcort client firms from the Merrill Lynch proprietary business.

Converted CICS systems to MVS as a consultant. Hired as an employee to manage the Trade and Journal Entry systems areas.Led the building of an IDMS Security Master and Trade and Journal Entry Systems.Managed as many as 25 people in supporting both new development and production.