- Successfully managed complex projects from initiation through implementation. Collected and evaluated project requirements and stakeholder inputs; developed concrete project plans; prioritized work; identified risks, anticipated challenges and took action to keep projects on track; design and build management reporting; and administered budgets, resource plans, and staff assignments- Managed a critical project tasked with identifying efficiencies in corporate action processing, assessing data quality issues and designing standards for consuming and maintaining reference data from financial data vendors- Coordinated various work-streams responsible for integrating three separate and distinct stock records, creating a security master, and establishing pricing and corporate actions repositories- Established strong working relationships with internal stakeholders and external parties to accomplish the orderly liquidation of the largest U.S. broker dealer undergoing a bankruptcy proceeding- Managed a data analytics project team, which grew from 2 to 32 professionals, who conducted data analysis on the allocation of securities, forecasted the distribution of assets, valued a portfolio of securities ($18B), and reconciled customer account positions and balances- Led the “Securities Industry T+2 Playbook” project, by conducting workshops and gathering input from more than 600 industry representatives across 12 market segments. Authored the project report which included key industry actions and milestones across trade processing, asset servicing, regulatory change, documentation, and system testing for migrating to a two-day settlement cycle- Coordinated efforts of cross-functional teams responsible for testing algorithms designed to calculate haircuts as required by the (SEC) Rule 15c3-1 Net Capital Requirements- Recruited, managed, developed and motivated professionals to maximize their individual contribution and encourage their professional growth

Assisted an Asset Management firm replace its manual intensive reconciliations and exception management process with SmartStream TLM. Provided oversight to team which (1) developed functional business requirements for cash, position, collateral, and bank reconciliations, (2) evaluated vendors, and (3) developed a roadmap to support the implementation of the selected system Performed a controls assessment project for a major broker dealer’s trading systems and reporting processes. Recommended enhancements to processes and procedures in order to meet the requirements of the SEC Rule 605 “Disclosure of SEC Required Order Execution Information”Performed effectiveness testing of controls for several business process cycles and tested general computer controls on several internal and outsourced systems and applications for a leading financial services organizationLed the evaluation of a broker dealer’s written supervisory policies and procedures and testing of supervisory controls in the areas of Settlements, Best Execution, Business Continuity Planning, and Licensing & Registration to support compliance with the Financial Industry Regulatory Authority’s (FINRA) Rules 3110 and 3120

Provided business continuity support for the operations department of a leading broker dealer following the major events that occurred in September 2001. Major responsibility was the reconciliation of equity and fixed income breaks between known trades and back office dataConducted a T+1 / Straight Through Processing (STP) readiness assessment of a leading financial services company

Supervised staff of ten developers based in New York and Amsterdam during the development of a customized multi-tiered global electronic trading platform and researched international compliance rules and regulations and their impact on the web based trading systemDeveloped business and technical specifications for a multi-currency foreign exchange and created user manuals, project plans, and status reports in accordance with bank’s standards

Supervised a staff of four professionals who conducted back office operations including monitoring client accounts, order entry and cash reconciliation