STP Consulting Solutions provides investment firms with expertise in evaluating and implementing enterprise data, IBOR, and OMS/Compliance solutions. STP focuses on providing technology and consulting solutions to solve clients' pain points at the right price point. We have over 20 years of experience working with custodians, investment managers, software firms, data providers, and industry working groups to lead the strategy, evaluation, and implementation of successful solutions. Our consultants are senior subject matter experts who complement a client and software vendor team.Subject matter expertise provided in corporate actions, enterprise data, IBOR (Aladdin), and OMS (CRD) along with functional expertise as program managers, project managers, business analysts, and data architects. Recent projects:Drive requirements for enterprise data management which will allow for gold copy of fund, legal entity, and AUM data.Requirements to support global reporting initiative to support creation of Form PF and AiFMD.Create process flows, user stories, use cases, and test cases from requirements gathering.Provide documentation to configure workflow, business rules, and operational controls within Markit EDM product.Assessed and determined global operations model for new IBOR reconciliation process for fixed income and derivatives. Gathered and analyzed transaction and reconciliation data to support new global operating model.Created process flows for current state vs. future state for IBOR recon and bank loan trade flow.Assisted on compliance rules to be migrated and configured in BlackRock Aladdin.Conducted workshops with program management team and stakeholders from front to back office to assess current state processes, resources, and business priorities in order to develop an initial program plan and resourcing needs prior to business process review sessions with BRS team.

Lead strategy and planning of systems integration testing, UAT and training for Broadridge’s asset servicing platform (ASTRID) to enable the successful implementation of a top wealth management firm.Coordinate client change requests for new development with product management and development and determine impact to plan.Assess resourcing needs and capacity to meet plan milestonesCommunicate with C-level on progress, blockers, risks and recommendations

Conducted a current vs future state assessment across investment management and the broker dealer to understand functional requirements and process flows. Issue tracking, coordination and resolution for operations, custodians, QA, IT and the vendor.Communicated and reported into executive steering committee and a stakeholder in program steering committee for project status and issue tracking.Provided subject matter expertise to lead pre-implementation activities and discussions with preferred vendor, IHS Markit.Defined Agile epics and stories needed to support the business and collaborate with the Product Owner and IT to ensure sprint goals are met in a prioritized order to meet a vendor implementation schedule.Lead business rules and workflow configuration discussions with the operations team and vendor.Determined test strategy, plan, scripts and data and coordinated with Scrum team and business for execution.

Documented current state process and flows for investment policy statement monitoring and post trade compliance.Developed a project plan with the client team and outsourcing vendor to develop post trade compliance functions and process flows.Inventoried all investment policy documents and manage a team to extract all pertinent data and rules.Write requirements to build a post trade compliance rules engine, workflow, document storage, user dashboards, and reporting. Designed future state workflows, business rules, and operational controls within a new managed service.Determined a phased and iterative approach to developing a managed service due to complexity of compliance rules and monitoring required.

Drove requirements for enterprise data management which will allow for gold copy of fund, legal entity, and AUM data which will support a global regulatory reporting initiative in creation of Form PF and AiFMD.Created process flows, user stories, use cases, and test cases from requirements gathering.Designed future state workflows, business rules, and operational controls within IHS Markit EDM product. Work with Markit EDM specialist to ensure proper configuration.Built out investment data warehouse to support Tradable Credit, Private Equity, Real Estate, and Direct Lending business lines.Project was later de-funded.

Assessed and determined global operations model for new IBOR reconciliation process for fixed income and derivatives. Gathered and analyzed transaction and reconciliation data to support new global operating model.Created process flows for current state vs. future state for IBOR recon and bank loan trade flow.Assisted on compliance rules and data to be migrated and configured in BlackRock Aladdin.

Conducted current state analysis to ensure all program components were accounted including IHS Markit MCA and IHS Markit’s IM Actions.Developed workshop materials to lead discussions for program design and functional gaps.Created program plan which incorporated project priorities, risk, dependencies, resources, milestones, and timeline.Reviewed data requirements and cross operational needs for program to validate comprehensive and robust approach.

- Provide project team with corporate actions and ISO standards expertise to lead an initiative to implement SWIFT MT564 and MT566 messages to outbound clients.- Coordinate testing efforts between internal team members and European client.- Document business needs for future system development and adhere to market practice.

- Conducted workshop to understand current state, determine business drivers, review future state needs, review vendor solutions, and discuss list of feature functionality required to support an automated corporate actions process through either buy or build.- Determine short list of vendors for evaluation based on prioritized list of feature functionality from operations management team.

- Lead middle and back office assessment of business processes for securities operations.- Determine process flow gaps between client and new outsourcing provider, Headstrong. - Define start of day cash and cash reporting requirements.- Review data received from custodians, transfer agent, and fund accounting agent to ensure it meets the business process requirements.- Review and recommend operational changes to staff roles and responsibilities, day in the life activities, and support structure at client and Headstrong.

- Lead vendor evaluation of Tata Consultancy Services’ NCS Corporate Action product for processing of Vanguard’s $1.3 trillion AUM.- Lead gap analysis of NCS Corporate Action product and ensure functional requirements are met and gaps documented.- Recommend to management whether the product will functionally meet operational needs for usability, risk mitigation, andstraight through processing. - Collaborate in creating future state business process maps for the entire corporate action lifecycle.- Determine product’s interface requirements for positions, trades, security master, and business partner data.- Ensure SWIFT MT564 - MT568 compliance and compatibility with custodian banks. Work closely with custodians to determine root cause of any standards compliance issues, determine plan to address, and ensure ongoing compliance.- Rollout new services to 30+ portfolio managers and external advisors for notifications and elections management.- Plan and execute testing strategy, change management, and model office.

- Document current operational processes and procedures for funds invested in CLO, CDO, and derivatives products.- Determine gaps and weaknesses in current processes and procedures.- Recommend to management operational and technological solutions to address gaps and weaknesses in current processes.

- Lead corporate actions software vendor review process for New York and London offices responsible for $600B in fixed income AUM. - Determine the functional features to support processing of corporate actions for fixed income and match against the vendor’s functionality. - Recommend the preferred vendor solution and determine high level project plan, budget, and resources. - Review and re-engineer the current corporate action fixed income business process for operational improvements.- Propose technology initiatives to support change in business process to increase efficiencies and reduce risk.- Hire, train, and transition staff from Pasadena to New York City office.

- Analyze current investment management functionality and application features at Charles Schwab for their advisory business line.- Determine functionality gaps with preferred wealth management vendor, x eye. - Determine how future business process model affects feature set to be supported by vendor.- Present and provide recommendations for executive management on next steps.

Project Lead--Operations, Corporate ActionsSr Business Analyst, Corporate Actions- Lead operations and business analysis for new Global Wealth Management Platform.- Develop process flows, controls, key performance indicators, and exception management process for Corporate Actions for both equity and fixed income.- Determine SWIFT communication and industry best practices for Corporate Actions.- Implement and integrate Tata Consultancy Services’ Quartz product for Corporate Actions.- Develop specifications for vendor gap analysis and ETL for data movement.- Develop testing strategy, plan, and execution of user acceptance.- Determine data mapping and integration with UK tax vendor.

- Worked closely with sales team, engineering, and customer support to resolve partner issues related to bugs, performance, and partner requests for changes to customizations resulting in customer satisfaction of results. - Discussed with partners future functionality requirements and provide this information to product management for development efforts. - Assisted in increasing production capacity through auto-build system and decreased build times by over 100%. - Determined business objective, requirements, and scope of auto-build system.

- Developed strategic plans with customers, sales, and professional services teams to address their business objectives and current needs. - Worked with customers and internal support organizations to ensure high level of satisfaction in service life cycles.- Created complex service proposals, statements of work, and presentation materials for current and prospective clients resulting in over $3m in annual revenue.

- Defined and implemented SWIFT and ISITC product strategy for Corporate Actions.- Defined reporting requirements and coordinated client testing for conversion to the European Monetary Union and its currency, the euro.- Managed client relationships with U.S. investment management firms and the London office client base to coordinate mutual technology objectives.

- Analyzed and researched corporate action information to ensure proper processing and client reporting.- Researched and resolved discrepancies in clients' securities positions at sub-custodian banks.- Managed a pilot project which enabled clients to participate in high volume, time sensitive proxy voting.